Registration of Swap Dealers and Major Swap Participants

OMB 3038-0072

OMB 3038-0072

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 of Swap Dealers and Major Swap Participants expires 2023-09-30 and can be found here.

OMB Details

Registration of Swap Dealers and Major Swap Participants

Federal Enterprise Architecture: General Government - Executive Functions

Form 8-TIndividual WithdrawalFillable Fileable SignableForm and instruction
Form Form 8-RIndividual ApplicationFillable Fileable SignableForm and instruction
Form 7WFirm WithdrawalFillable Fileable SignableForm and instruction
Form 7 - RFirm ApplicationFillable FileableForm and instruction

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