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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

  • Click here if you do not already have access to the Online Registration System.
  • 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
  • Testing Application — Use this form to register to take any of the futures exams:
  • Update Form — Changes or corrections for any FCM, SD, MSP, RFED, IB, CPO,CTA, AP, FB, FT, FTOE 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:

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.

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.

Online Registration System

 

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Electronic Filings

NFA Members can file many of their required documents electronically.

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Check Broker / Firm Information (BASIC)

You can check the registration status and disciplinary history of any futures firm or individual.

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