Registration Rules

Part 800. Electronic Filing of Registration Forms

RULE 802. CERTIFICATIONS, ACKNOWLEDGEMENTS, AGREEMENTS AND REPRESENTATIONS.

[Adopted effective May 31, 2002. Effective dates of amendments: September 9, 2002; July 21, 2003; December 15, 2003; September 30, 2010; July 18, 2012; and December 15, 2017.]

(a) The electronic filing of a Form 7-R for registration as an FCM, RFED, SD, MSP, IB, CPO and CTA or for exemption from registration as an IB, CPO and CTA pursuant to CFTC Regulation 30.5 is deemed to constitute the applicant's applicable certifications, representations, acknowledgements, authorizations and agreements contained in the Form 7-R;

(b) The electronic filing of a Form 8-R for registration as an FB or FT is deemed to constitute the applicant's applicable certifications, acknowledgements, authorizations and agreements contained in the Form 8-R;

(c) The electronic filing of a Form 8-R for an AP, Forex AP, Swap AP, principal or FTOE is deemed to constitute the sponsor's applicable certifications, acknowledgements and agreements contained in the Form 8-R;

(d) The electronic verification by an individual of the information contained in the Form 8-R constitutes the applicant's, principal's or FTOE's applicable certifications, acknowledgements, authorizations and agreements contained in the Form 8-R; and

(e) The electronic filing of a Form 8-T, 7-W or an update to the Form 7-R or 8-R is deemed to constitute the sponsor's, applicant's or registrant's applicable certifications, and acknowledgements contained in the Form 8-T, 7-W or an update to the Form 7-R or 8-R.

(f) Retention of Records. In accordance with Commission Regulation 1.31, FCM, RFED, SD, MSP, IB, CTA, CPO, LTM, FB and FT applicants and registrants and their sponsors, if applicable, applicants for exemption from registration as an IB, CPO or CTA pursuant to CFTC Regulation 30.5 and IBs, CPOs and CTAs confirmed as exempt from registration pursuant to CFTC Regulation 30.5 must retain such records as are necessary to support the certifications required by this Rule.