Templates and Forms
Below are the templates and forms that are used in NFA's registration process.
- Templates represent filings that must be completed in NFA's Online Registration System (ORS) or EasyFile.
- Forms are to be filled out and mailed to NFA because they can't be processed online.
To access the templates and forms, you need Adobe Acrobat Reader.
Registration Application
Firm Applications
Use these templates to assist in filing an application for registration as a futures commission merchant (FCM), swap dealer (SD), retail foreign exchange dealer (RFED), introducing broker (IB), commodity pool operator (CPO), commodity trading advisor (CTA), non-natural person floor trader (FTF), or NFA membership or designation as a forex firm, forex dealer member or swap firm, or for confirmation as exempt from registration under CFTC Regulation 30.5:
Use this template to assist you in filing criminal, regulatory and/or financial Firm Disclosure Matter Pages (DMP):
Individual Applications
Use this template to assist you in filing the application for registration as an associated person (AP), floor broker (FB), individual floor trader (FT), or for approval as a principal, branch office manager, forex associated person or swap associated person, or floor trader order enterer (FTOE):
Use this template to assist you in filing criminal, regulatory, financial and/or employment Disclosure Matter Pages:
Compliance Requirements
Use these forms to file for registration as an FCM, RFED or IB:
- Form 1FR-FCM (Access instructions for completing the Form 1FR-FCM)
- Form 1FR-IB (Part A) (Access instructions for completing the Form 1FR-IB (Part A))
- Form 1FR-IB (Part B Guarantee Agreement)
- FOCUS Reports
Use these forms to apply for notice registration as an FCM, IB, or broker-dealer:
Testing Application
To register to take any of the futures exams, visit FINRA's website.
Withdrawal Notices
Firm Withdrawals
Use this template to assist in filing to withdraw from registration as an FCM, SD, RFED, IB, CPO, CTA, FTF or NFA Membership, or designation as a forex firm, forex dealer member, or swap firm:
Individual Withdrawals
Use this template to assist in filing for withdrawal for an AP, branch office manager, forex associated person, swap associated person, or principal:
Use this form to withdraw from registration as an FB or individual FT:
Associated Person Statutory Disqualification Submission
If an SD determines that a statutory disqualification exists for one of its APs, it may elect to file a Statutory Disqualification Form for a determination as to whether NFA would have granted the person registration as an AP despite the statutory qualification. Use these templates to assist you in filing a Statutory Disqualification Form in NFA's EasyFile system: