Templates and Forms

Listed below are the templates and forms that are used in NFA's registration process. Templates are a representation of the electronic application and withdrawal notices that are filed in the Online Registration System (ORS). Forms are to be filled out and mailed to NFA because they are for categories that can't be processed in ORS. To access the templates and forms, you need Adobe Acrobat Reader.

APPLICATIONS FOR REGISTRATION

• Firm Applications - Use these templates of the forms to assist you in filing an application for registration as a Futures Commission Merchant (FCM), Retail Foreign Exchange Dealer (RFED), Introducing Broker (IB), Commodity Pool Operator (CPO), Commodity Trading Advisor (CTA) and/or NFA membership electronically in ORS or for confirmation as exempt from registration under CFTC REGULATION 30.5:
• Form 7-R, includes NFA membership sections
• Exempt Foreign Firm Form 7-R

• Compliance Requirements - Use these instructions to assist you when filing for registration as a Futures Commission Merchant (FCM), Retail Foreign Exchange Dealer (RFED), or Introducing Broker (IB):
• Form 1FR-FCM
• Form 1FR-IB (Part A)
• Form 1FR-IB (Part B Guarantee Agreement)
• FOCUS Reports

• Click here if you do not already have access to the Online Registration System.

• Use these forms to apply for notice registration as an FCM, IB or broker-dealer or for registration as an Agricultural Trade-Option Merchant (ATM). These forms may not be electronically filed in ORS. The forms must be filled out and mailed to NFA:
• Notice Form 7-R
• Notice Form BD-N
• Notice Form 7-R Limited Purpose FCM
• ATM Form 7-R

• Individual Applications - Use this template to assist you in filing the electronic application for registration as an Associated Person (AP), Floor Broker (FB) or Floor Trader (FT) or for approval as a Principal, Branch Office Manager or Forex Associated Person in ORS:
• Form 8-R

• Use this form to apply for registration as an AP of an ATM or for approval as a Listed Individual. This form may not be electronically filed in ORS. The form must be filled out and mailed to NFA:
• ATM Form 8-R

• Testing Application - Use this form to register to take any of the futures exams:
• Form U10

• Update Form - Use this form to report changes for ATMs and their affiliated individuals or notice registered IBs and FCMs. This form may not be electronically filed in ORS. The form must be filled out and mailed to NFA. Any changes or corrections for any FCM, RFED, IB, CPO,CTA, AP, FB, FT or Principal must be filed electronically in ORS:
• ATM Form 3-R

WITHDRAWAL NOTICES

• Firm Withdrawals - Use this template to assist you in filing the electronic request to withdraw from registration as an FCM, RFED, IB, CPO, CTA or NFA Membership in ORS:
• Form 7-W
• Use this form to withdraw from registration as an ATM. This form may not be electronically filed in ORS. The form must be filled out and mailed to NFA:
• ATM Form 7-W

• Individual Withdrawals - Use this template to assist you in filing the electronic withdrawal for an AP, Branch Office Manager, Forex Associated Person and/or Principal in ORS:
• Form 8-T

• Use these forms to withdraw from registration as an FB, FT, AP or to withdraw the status of a listed individual of an agricultural trade-option merchant. These forms may not be electronically filed in ORS. The form must be filled out and mailed to NFA:
• Form 8-W
• ATM Form 8-T

If you have any questions, contact NFA's Information Center at (800) 621-3570 or (312) 781-1410.