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It explains how disclosure duties apply even when other regulators do not require reporting, clarifies limited sufficiency of other regulatory disclosures, and provides contact details for NFA assistance.",{"@graph":14,"@context":73},[15,34,56],{"@type":16,"itemListElement":17},"BreadcrumbList",[18,23,27,31],{"item":19,"name":20,"@type":21,"position":22},"https://docshare.wps.com","Home","ListItem",1,{"item":24,"name":25,"@type":21,"position":26},"https://docshare.wps.com/document/","Document",2,{"item":28,"name":29,"@type":21,"position":30},"https://docshare.wps.com/document/exam/","Exam",3,{"item":32,"name":10,"@type":21,"position":33},"https://docshare.wps.com/document/individual-application-form-8-r-instructions-for-using-the-individual-application-template/394343/",4,{"url":32,"name":10,"@type":35,"image":36,"author":41,"headline":10,"publisher":44,"fileFormat":47,"inLanguage":8,"description":12,"dateModified":48,"datePublished":49,"encodingFormat":47,"isAccessibleForFree":50,"interactionStatistic":51},"DigitalDocument",{"url":37,"@type":38,"width":39,"height":40},"https://docshare.wps.com/thumbnails/individual-application-form-8-r-instructions-for-using-the-individual-application-template/394343.png","ImageObject",300,407,{"name":42,"@type":43},"Aria","Person",{"url":19,"name":45,"@type":46},"DocShare","Organization","application/pdf","2026-11-05","2026-09-26",true,{"@type":52,"interactionType":53,"userInteractionCount":55},"InteractionCounter",{"@type":54},"ViewAction",10,{"@type":57,"mainEntity":58},"FAQPage",[59,65,69],{"name":60,"@type":61,"acceptedAnswer":62},"What happens if an applicant fails to answer questions completely and accurately on Form 8-R?","Question",{"text":63,"@type":64},"Failure to answer all questions completely and accurately, or omission of required information, may result in denial or revocation of registration.","Answer",{"name":66,"@type":61,"acceptedAnswer":67},"Are applicants required to disclose disciplinary matters and answer “Yes” when the Disciplinary Information Section requires it?",{"text":68,"@type":64},"Yes. If a question in the Disciplinary Information Section requires disclosure, the question must be answered “Yes” regardless of advice received from others other than NFA’s Registration Investigations or Legal (RIL) staff.",{"name":70,"@type":61,"acceptedAnswer":71},"Do disclosure requirements change if another regulatory body has already required or received the same information?",{"text":72,"@type":64},"In many cases, compliance with disclosure requirements of another regulatory body is not sufficient. 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THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY ORTHE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF REGISTRATION.  \nTHE FAILURE TO DISCLOSE A DISCIPLINARY MATTER EITHER IN AN APPLICATION OR AN UPDATE WILL RESULT IN THE IMPOSITION OF A LATE DISCLOSURE FEE IN ACCORDANCE WITH NFA REGISTRATION RULE 210(c).  \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.  \nDEFINED TERMS  \nWords that are underlined in this form are either defined terms and have the meanings contained in the Definition of Terms section or links to the text of Commodity Exchange Act provisions, CFTC Regulations or NFA Rules.  \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 Investigations or Legal (“RIL”) staff) 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 RIL 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  \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 ofthe new information, and the Sponsor must file the update on their behalf. The  \nPage 1 | OMB Numbers 3038-0023 (exp. November 30, 2018) & 3038-0072 (exp. July 31, 2018) | CFTC Form 8-R (April 2017)  \nTEMPLATE: DO NOT SEND TO NFA  \nINDIVIDUAL APPLICATION (FORM 8-R) COMMODITY FUTURES TRADING COMMISSION  \nNATIONAL FUTURES ASSOCIATION  \nInstructions for Using the Individual Application Template  \nfailure 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, if a 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” an","cbCaitHgmF1v1PII","https://ap.wps.com/l/cbCaitHgmF1v1PII","pdf",191916,38,"English","# Instructions for Using the Individual Application Template\n## General Instructions\n## Disciplinary Information Section\n### Criminal Disclosures\n### Regulatory Disclosures\n### Financial Disclosures","[{\"question\":\"What happens if an applicant fails to answer questions completely and accurately on Form 8-R?\",\"answer\":\"Failure to answer all questions completely and accurately, or omission of required information, may result in denial or revocation of registration.\"},{\"question\":\"Are applicants required to disclose disciplinary matters and answer “Yes” when the Disciplinary Information Section requires it?\",\"answer\":\"Yes. If a question in the Disciplinary Information Section requires disclosure, the question must be answered “Yes” regardless of advice received from others other than NFA’s Registration Investigations or Legal (RIL) staff.\"},{\"question\":\"Do disclosure requirements change if another regulatory body has already required or received the same information?\",\"answer\":\"In many cases, compliance with disclosure requirements of another regulatory body is not sufficient. Disclosure is required even if another regulator does not require disclosure of the same matter.\"}]","Individual Application (Form 8-R) - Instructions for Using the Individual Application Template | PDF",1790402333,96]