Registration under the Commodity Exchange Act

OMB 3038-0023

OMB 3038-0023

The Commodity Futures Trading Commission (“Commission” or “CFTC”) amended Form 8-R. Form 8-R is the application form that individuals must use to register with the Commission as an associated person of a futures commission merchant, retail foreign exchange dealer, introducing broker, commodity trading advisor, commodity pool operator, leverage transaction merchant; to register as a floor broker or floor trader; or to be listed as a principal of a firm registrant (such individuals referred to herein collectively, as “applicants”). 17 CFR 3.10(a)(2), 3.11(a), and 3.12(c). Applicants have been required to use Form 8-R since 1977. Revision of Registration Forms and Amendment of Related Rules, 42 FR 23988 (May 11, 1977) (Form 8-R replaced Forms 2-R, 4-R and 94). Form 8-R requests information about the applicant that is necessary to assess the applicant’s fitness to engage in business as a derivatives professional, subject to regulation and oversight by the Commission. In connection with the revision of Form 8-R, the Commission is amending collections 3038-0023 and 3038-0072 to reflect a slight change to the information collection burdens associated with the revised version of Form 8-R.

The latest form for Registration under the Commodity Exchange Act expires 2023-03-31 and can be found here.

All Historical Document Collections
Extension without change of a currently approved collection 2023-01-20
Approved without change
Revision of a currently approved collection 2020-09-24
Approved with change
Revision of a currently approved collection 2019-12-10
Approved without change
Revision of a currently approved collection 2019-06-20
Comment filed on proposed rule and continue
Revision of a currently approved collection 2018-10-18
Approved without change
Revision of a currently approved collection 2018-12-12
Comment filed on proposed rule and continue
Revision of a currently approved collection 2016-11-25
Approved without change
Revision of a currently approved collection 2016-04-01
Comment filed on proposed rule and continue
Revision of a currently approved collection 2015-12-17
Approved without change
Revision of a currently approved collection 2015-02-19
Disapproved and continue
No material or nonsubstantive change to a currently approved collection 2012-11-28
Approved without change
No material or nonsubstantive change to a currently approved collection 2012-10-15
Approved without change
Revision of a currently approved collection 2012-03-07
Approved without change
Revision of a currently approved collection 2012-03-07
Preapproved
Revision of a currently approved collection 2010-02-19
Approved with change
Revision of a currently approved collection 2007-08-30
Approved without change
Revision of a currently approved collection 2004-06-09
Approved without change
No material or nonsubstantive change to a currently approved collection 2002-06-05
Approved without change
No material or nonsubstantive change to a currently approved collection 2002-05-23
Approved without change
Revision of a currently approved collection 2001-05-14
Approved without change
No material or nonsubstantive change to a currently approved collection 2000-06-09
Approved without change
No material or nonsubstantive change to a currently approved collection 1999-12-10
Approved without change
Revision of a currently approved collection 1999-10-28
Improperly submitted and continue
Revision of a currently approved collection 1999-08-03
Approved without change
Extension without change of a currently approved collection 1999-01-20
Approved without change
Extension without change of a currently approved collection 1998-07-01
Approved without change
Extension without change of a currently approved collection 1997-09-02
Approved without change
Extension without change of a currently approved collection 1997-01-23
Approved without change
Extension without change of a currently approved collection 1996-06-20
Approved without change
Revision of a currently approved collection 1993-02-26
Approved without change
Reinstatement with change of a previously approved collection 1991-01-03
Approved with change
No material or nonsubstantive change to a currently approved collection 1988-06-28
Approved with change
No material or nonsubstantive change to a currently approved collection 1987-11-04
Approved without change
Revision of a currently approved collection 1987-11-25
Approved without change
Revision of a currently approved collection 1987-05-22
Approved without change
Revision of a currently approved collection 1986-11-24
Approved without change
Revision of a currently approved collection 1986-07-22
Approved without change
Revision of a currently approved collection 1985-06-20
Approved with change
No material or nonsubstantive change to a currently approved collection 1984-02-07
Approved with change
No material or nonsubstantive change to a currently approved collection 1983-03-30
Approved with change
No material or nonsubstantive change to a currently approved collection 1983-01-13
Approved with change
No material or nonsubstantive change to a currently approved collection 1982-06-07
Approved without change
Revision of a currently approved collection 1982-04-15
Approved without change
Revision of a currently approved collection 1982-01-11
Approved without change
New collection (Request for a new OMB Control Number) 1981-11-25
OMB Details

Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations

Federal Enterprise Architecture: General Government - Executive Functions

Form Form 8-RIndividual ApplicationFillable Fileable SignableForm and instruction
Form Form 7-RFirm ApplicationFillable Fileable SignableForm and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.


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