OMB control number
Registration under the Commodity Exchange Act
OMB 3038-0023 · CFTC.
The Commodity Exchange Act (“CEA”) requires commodity interest market intermediaries and participants to register with the Commodity Futures Trading Commission (“Commission” or “CFTC”), including: Futures commission merchants and introducing brokers (7 U.S.C. 6d); Commodity pool operators and commodity trading advisors (7 U.S.C. 6(1)); Retail foreign exchange dealers (7 U.S.C. 2(c)); Associated persons (7 U.S.C. 6k); Floor traders or floor brokers (7 U.S.C. 6e); and Swap dealers and major swap participants (7 U.S.C. 6s(a)). The CFTC uses various forms (Forms 7-R, 8-R, 7-W and 8-T) for registration (and withdrawal therefrom) (the “Registration Forms”). OMB Control No. 3038-0023 applies to the Registration Forms for registration of persons other than swap dealers and major swap participants.
The latest form for Registration under the Commodity Exchange Act expires 2029-04-30 and can be found here.
Document Name |
|---|
Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Supporting Statement A |
Form Form 8-R Individual Application
Form Form 7-R Firm Application
Alternative to Fingerprinting Requirement For Foreign Natural Persons Registration of Persons Other Than Swap Dealers and Major Swap Participants
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
| Form Form 8-R | Individual Application | Fillable Fileable Signable | Form and instruction |
| Form Form 7-R | Firm Application | Fillable Fileable Signable | Form and instruction |
Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.