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| Templates and Forms | |
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This list is presented by type of registration activity. Click on any of the links for a definition and a listing of the forms and fees required to register in a particular category. You can view, complete and print the templates and forms by downloading them. However, you must have Adobe Acrobat Reader. If you have questions, contact NFA's Information Center at (800) 621-3570 or (312) 781-1410. 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), Introducing Broker (IB), Commodity Pool Operator (CPO), Commodity Trading Advisor (CTA) and/or NFA membership in ORS or for confirmation as exempt from registration under CFTC Regulation 30.5:
Use these forms to apply for notice registration as an FCM, IB or broker-dealer or for registration as an Agricultural Trade-Option Merchant (ATM):
Individual Applications- Use the template of this form to assist you in filing an application for registration as an Associated Person (AP), Floor Broker (FB) or Floor Trader (FT) or for approval as a Principal in ORS:
Use these forms to apply for registration as an AP of an ATM or for approval as a Listed Individual:
TESTING APPLICATION- Use this form to register to take any of the futures exams:
UPDATE FORM- Use ORS to report changes and corrections to any firm or individual form previously filed. However, ATMs and their affiliated individuals or notice registered IBs and FCMs should use the ATM, 3-R:
TERMINATION/WITHDRAWAL FORMS
Use this form to withdraw from registration as an ATM:
Individual Terminations- Use the template of this form to assist you in filing for termination as an Associated Person, Branch Office Manager and/or Principal: Use these forms to request to withdraw from registration as an FB or FT or to terminate as an AP or a listed individual of an ATM: |