Registration under the Commodity Exchange Act

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 is listed under ICR 202512-3038-002.

Registration of Persons Other Than Swap Dealers and Major Swap Participants

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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