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Emphasizes answering all questions accurately to avoid denial or revocation, using NFA staff guidance, updating information after filing, and disclosure requirements for disciplinary, regulatory, and financial matters, including when a “Yes” response is 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for Using the Individual Application Template  \nREAD THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE APPLICATION. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR THE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF REGISTRATION.  \nThis document is not an application form. Do not send this document to NFA. It is a template that you may use to assist in filing the electronic application.  \nYou may fill out the template online and save and/or print it when you are finished or you can download the template and/or print it and fill it out later.  \nNot every section applies to every applicant. Certain sections apply depending on the registration category or categories being applied for. The text above these sections explains who must complete the section. In the electronic application, only the applicable sections will appear.  \nDEFINED TERMS  \nWords that are underlined in this form are defined terms and have the meanings contained in the Definition of Terms section.  \nGENERAL  \nRead the Instructions and Questions Carefully  \nA question that is answered incorrectly because it was misread or misinterpreted can result in severe consequences, including denial or revocation of registration. Although this applies to all questions in the application, it is particularly important to the questions in the Disciplinary Information Section.  \nRely Only on Advice from NFA Staff  \nA question that is answered incorrectly because of advice received from a lawyer, employer, a judge or anyone else (other than a member of NFA’s Registration, Compliance, Legal or Information Center (“RCLI”) departments) can result in severe consequences, including denial or revocation of registration. This also applies to all questions in the form, but is particularly important regarding the Disciplinary Information Section. If the language of a question in the Disciplinary Information Section requires disclosure of a matter, a “Yes” answer to the question is required no matter what other advice has been received from anyone other than NFA’s RCLI staff. Additionally, the applicant or registrant remains responsible for failures to disclose even if someone completes the form on the applicant’s or registrant’s behalf.  \nUpdate the Information on the Application  \n-continued on next page-  \nTEMPLATE: DO NOT SEND TO NFA  \nNATIONAL FUTURES ASSOCIATION  \nINDIVIDUAL APPLICATION  \nInstructions for Using the Individual Application Template  \nIf information provided on the application changes or a matter that would have required disclosure on the application occurs after the application is filed, the new information must be promptly filed. APs and Principals should advise their Sponsors of the new information, and the Sponsor must file the update on their behalf. The failure to promptly update information can result in severe consequences, including denial or revocation of registration.  \nCompliance with Disclosure Requirements of Another Regulatory Body is not Sufficient  \nWith some exceptions, which are described below in the Regulatory and Financial Disclosures sections, if any question requires the provision of information, that information must be provided. In particular, ifa question in the Disciplinary Information Section requires disclosure of a matter, the question must be answered “Yes” and additional documents must be provided even if the matter has been disclosed to another regulatory body such as FINRA, an exchange or a state regulator. Similarly, disclosure is required even if another regulatory body does NOT require disclosure of the same matter.  \nCall NFA with Questions  \nIf there is any question about whether particular information must be provided, whether a particular matter must be disclosed or whether a particular question requires a “Yes” answer, call the NFA Information Center at (800) 621-3570 or (312) 781-1","cbCailvjOTSNUnUw","https://ap.wps.com/l/cbCailvjOTSNUnUw","pdf",225381,41,"English","# Instructions for Using the Individual Application Template\n# Defined Terms\n# General\n## Read the Instructions and Questions Carefully\n## Rely Only on Advice from NFA Staff\n## Update the Information on the Application\n## Compliance with Disclosure Requirements of Another Regulatory Body is not Sufficient\n## Call NFA with Questions\n# Disciplinary Information Section\n## Criminal Disclosures\n## Regulatory Disclosures\n# Financial Disclosures","[{\"question\":\"Is this template an application form that should be sent to NFA?\",\"answer\":\"No. The document states it is a template to assist with filing the electronic application and should not be sent to NFA.\"},{\"question\":\"What happens if applicants fail to answer questions completely and accurately?\",\"answer\":\"The failure to answer all questions completely and accurately, or to omit required information, may result in denial or revocation of registration.\"},{\"question\":\"When must applicants answer “Yes” for criminal disclosure questions?\",\"answer\":\"A “Yes” answer is required even if the matter was expunged or records were sealed, there was no adjudication or guilt finding, the plea was vacated, or the matter was dismissed after completion of a diversion program, subject to the stated exceptions.\"}]","Form 8-R - Instructions for Using the Individual Application Template | PDF",1790398347,103]