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), Swap Dealers (SD), Major Swap Participants (MSP), Retail Foreign Exchange Dealer (RFED), Introducing Broker (IB), Commodity Pool Operator (CPO), Commodity Trading Advisor (CTA), Non-natural person Floor Trader (FTF) and/or NFA membership or designation as a Forex Firm, Forex Dealer Member or Swap Firm electronically in ORS or for confirmation as exempt from registration under CFTC REGULATION 30.5:
• Template of Form 7-R, includes NFA membership sections
• Template of 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. 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

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

• Use this form to apply as a floor trader order enterer. This form may not be electronically filed in ORS. The form must be filled out and mailed to NFA:
• Floor Trader Order Enterer Form 8-R

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

• Update Form - Changes or corrections for any FCM, SD, MSP, RFED, IB, CPO,CTA, AP, FB, FT or Principal must be filed electronically in ORS.

WITHDRAWAL NOTICES

• Firm Withdrawals - Use this template to assist you in filing the electronic request to withdraw from registration as an FCM, SD, MSP, RFED, IB, CPO, CTA, FTF or NFA Membership, or designation as a Forex Firm, Forex Dealer Member or Swap firm in ORS:
• Template of 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, Swap Associated Person and/or Principal in ORS:
• Template of Form 8-T

• Use this form to withdraw from registration as an FB or individual FT. This form may not be electronically filed in ORS. The form must be filled out and mailed to NFA:
• Form 8-W

SWAP DEALER/MAJOR SWAP PARTICIPANT ASSOCIATED PERSON STATUTORY DISQUALIFICATION SUBMISSION

It is the SD/MSP's obligation to determine whether or not a statutory disqualification exists for one of its APs.  If a statutory disqualification exists, the SD/MSP may elect to file a Statutory Disqualification Form electronically via NFA's EasyFile system for a determination as to whether NFA would have granted the person registration as an AP despite the statutory disqualification.  NFA will assume that each matter being submitted to NFA is a statutory disqualification.  The SD/MSP should not submit information to NFA to determine whether or not the statutory disqualification exists. Based solely on the information that the SD/MSP electronically reports on the Statutory Disqualification Form via NFA's EasyFile system, NFA will notify the SD/MSP whether or not NFA would have granted the person registration as an AP despite the statutory disqualification.

If the SD/MSP has already determined that a statutory disqualification exist for one of its APs, it can use these templates to assist in filing the form electronically using NFA's EasyFile system.  NFA will NOT accept a form submitted via fax, mail or email.  Please go to NFA's EasyFile system to complete these forms electronically for NFA's review.

• Template of Criminal Statutory Disqualification Form
• Template of Regulatory Statutory Disqualification Form

SDs/MSPs should NOT submit supporting documentation in connection with Criminal or Regulatory Statutory Disqualification Form.  NFA will make its determination based solely on the information reported on the form.

For additional information see the CFTC  No-Action Relief from Statutory Disqualification Prohibition http://www.cftc.gov/ucm/groups/public/@lrlettergeneral/documents/letter/12-15.pdf

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