EasyFile AP Statutory Disqualification Form Submission

EasyFile AP Statutory Disqualification Form Submission allows swap dealers (SD) the ability to file criminal and regulatory statutory disqualification forms for its associated persons (AP). In order to access this system, the SD's security manager(s) must set-up EasyFile Security.

It is the SD's obligation to determine whether or not a statutory disqualification exists for one of its APs. If a statutory disqualification exists, the SD may elect to file a Statutory Disqualification Form in EasyFile for a determination as to whether NFA would have granted the person registration as an AP despite the statutory disqualification. Based on the information that the SD reports, NFA will notify the SD they have been granted registration as an AP despite the statutory disqualification.

If the SD has already determined that a statutory disqualification exist for one of its APs, it can use the templates below to assist in filing the form:

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

You are accessing a system containing U.S. Commodity Futures Trading Commission records. Your usage may be monitored, recorded, and subject to audit, and, by your use, you consent to monitoring and recording. Unauthorized use of the system is prohibited and subject to criminal and civil penalties. The Commission requires that you use a complex password for accessing Commission records and that you change your password at a regular interval.