Adoption of Revised Registration Form 8-R, 19665-19704 [2017-08558]

Download as PDF Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices leverage transaction merchants; and (2) users of Form 8–R, specifically (i) associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, and leverage transaction merchants; floor brokers; (ii) principals of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, floor trader firms, or leverage transaction merchants; (iii) floor brokers; (iv) floor traders; and (v) floor trader order enterers. Estimated Number of Respondents: 78,109. Estimated Total Annual Burden on Respondents: 7,210 hours. Frequency of Collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection. The Commission estimates the burden of this collection of information under OMB control number 3038–0072 to be: Respondents/Affected Entities: (1) Users of Form 7–R, specifically swap dealers and major swap participants; and (2) users of Form 8–R, specifically principals of swap dealers and of major swap participants. Estimated Number of Respondents: 770. Estimated Total Annual Burden on Respondents: 648 hours. Frequency of Collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection. Authority: 44 U.S.C. 3501 et seq. Dated: April 24, 2017. Robert N. Sidman, Deputy Secretary of the Commission. [FR Doc. 2017–08559 Filed 4–27–17; 8:45 am] BILLING CODE 6351–01–P Sunshine Act Meetings 11:00 a.m., Thursday, May 4, 2017. PLACE: Three Lafayette Centre, 1155 21st Street NW., Washington, DC, 9th Floor Commission Conference Room. STATUS: Closed. MATTERS TO BE CONSIDERED: Surveillance, enforcement, and examinations matters. In the event that the time, date, or location of this meeting changes, an announcement of the change, along with the new time, date, and/or place of the meeting will be posted on the Commission’s Web site at http://www.cftc.gov. asabaliauskas on DSK3SPTVN1PROD with NOTICES VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 Christopher Kirkpatrick, 202–418–5964. Natise Allen, Executive Assistant. [FR Doc. 2017–08684 Filed 4–26–17; 11:15 am] BILLING CODE 6351–01–P COMMODITY FUTURES TRADING COMMISSION Adoption of Revised Registration Form 8–R Commodity Futures Trading Commission. ACTION: Notice. AGENCY: The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is revising its Form 8–R, the application form that individuals must use to register with the Commission as an associated person of a registrant, floor broker, or floor trader, or to be listed as a principal of a registrant (collectively, ‘‘applicants’’). DATES: Effective Date: The new, revised version of Form 8–R shall be effective (and the prior version shall cease to be effective) when the National Futures Association (‘‘NFA’’) makes the new, revised version of the Form 8–R available on the NFA Web site for use by individual applicants. FOR FURTHER INFORMATION CONTACT: Erik F. Remmler, Deputy Director, (202) 418– 7630, eremmler@cftc.gov; Laura Gardy, Associate Director, (202) 418–7645, lgardy@cftc.gov; or August A. Imholtz III, Special Counsel, (202) 418–5140, aimholtz@cftc.gov, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, 1155 21st Street NW., Washington, DC 20581. SUPPLEMENTARY INFORMATION: SUMMARY: I. Background COMMODITY FUTURES TRADING COMMISSION TIME AND DATE: CONTACT PERSON FOR MORE INFORMATION: Individuals acting in certain capacities in the markets regulated by the Commission must file a completed Form 8–R with NFA.1 These applicants include: Associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, and leverage transaction merchants; floor brokers; and floor traders.2 Additionally, any individual acting in the capacity as principal of a futures commission merchant, retail foreign exchange dealer, introducing broker, commodity trading advisor, commodity pool operator, swap dealer, 1 17 2 17 PO 00000 CFR 3.10(a)(2), 3.11(a), and 3.12(c). CFR 3.11(a); 3.12(c). Frm 00014 Fmt 4703 Sfmt 4703 19665 major swap participant, floor trader or leverage transaction merchant also must file a completed Form 8–R.3 Lastly, individuals that enter orders for floor trader firms must file the Form 8–R as well.4 Individual applicants have been required to use Form 8–R since 1977.5 Form 8–R requests information about the applicant that can be used to assess the applicant’s fitness to engage in business as a derivatives professional. Form 8–R is a Commission form maintained and used primarily by the NFA. NFA is currently the only registered futures association authorized by the Commission in accordance with Section 17 of the Commodity Exchange Act (‘‘Act’’).6 Pursuant to Section 17(o) of the Act,7 Regulation 3.2,8 and a series of orders, the Commission delegated to NFA certain registration functions including, among other things, the processing of all Form 8–R filings.9 Since the first delegation to NFA in 1984, NFA has developed substantial expertise in registration matters, including reviewing and processing completed Forms 8–R. In 2002, with the approval of the Commission, NFA transitioned from a paper-based registration system to an online registration system that utilizes, among other things, an electronic version of Form 8–R.10 3 17 CFR 3.1(a); 3.10(a)(2); 3.11(a)(1). While ‘‘principal’’ is not technically a registration class and principals do not apply for registration, for purposes of this Notice, the Form 8–R filings by principals will be referred to with the other Form 8–R filings as ‘‘registration applications.’’ 4 17 CFR 3.11(a)(1). 5 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). 6 7 U.S.C. 21 (2012). 7 7 U.S.C. 21(o) (2012). 8 17 CFR 3.2. 9 See, e.g., Introducing Brokers and Associated Persons of Introducing Brokers; Authorization of National Futures Association to Perform Commission Registration Functions, 48 FR 35158 (Aug. 3, 1983); Performance of Registration Functions by National Futures Association, 49 FR 39593 (Oct. 9, 1984) (futures commission merchants, commodity pool operators, commodity trading advisors, and associated persons thereof); Performance of Registration Functions by National Futures Association; Delegation of Authority, 51 FR 34490 (Sept. 29, 1986) (floor brokers); Performance of Registration Functions by National Futures Association with Respect to Floor Traders and Floor Brokers, 58 FR 19657 (Apr. 15, 1993); and Performance of Registration Functions by National Futures Association with Respect to Swap Dealers and Major Swap Participants, 77 FR 2708 (Jan. 19, 2012). 10 Registration of Intermediaries, 67 FR 38869 (June 6, 2002). The transition to an online registration system has permitted greater efficiencies, including allowing individuals to update their existing Forms 8–R instead of completing a separate Form 3–R. To that end, in 2012, the Commission eliminated the requirement that registrants and individuals use Form 3–R to E:\FR\FM\28APN1.SGM Continued 28APN1 19666 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices asabaliauskas on DSK3SPTVN1PROD with NOTICES II. Revisions To Commission Form 8–R NFA has requested that the Commission make several changes to Form 8–R.11 Upon consideration of NFA’s request, the Commission is revising and updating Form 8–R. In addition, the Commission is updating the Form 8–R Privacy Act and Paperwork Reduction Act Statements. The Form 8–R revisions are described below.12 In the section titled ‘‘Sponsor Information and Registration Categories,’’ Form 8–R previously listed three categories of persons that could be associated with a sponsor: Associated persons, branch office managers, and principals.13 The revised Form 8–R includes a fourth category, floor trader order enterer. This addition addresses the Form 8–R filing requirement for employees of an entity that is a registered floor trader who execute swap transactions on a swap execution facility for the floor trader’s own account.14 In connection with this change, the revised Form 8–R includes two newly defined terms: ‘‘Entity floor trader’’ and ‘‘floor trader order enterer.’’ ‘‘Entity floor trader’’ is defined as an entity that is ‘‘an applicant or registrant that filed a Form 7–R for registration as a floor trader.’’ 15 ‘‘Floor trader order enterer’’ is defined as ‘‘an individual update information in their existing Form 7–R or 8– R, and provided that an update to a registrant’s online Form 7–R or 8–R would automatically create a record of changes equivalent to a completed Form 3–R. Registration of Intermediaries, 77 FR 51898 (Aug. 28, 2012); see also, Registration of Intermediaries, 76 FR 12888, 12891 (proposed Mar. 9, 2011). 11 Request from NFA to CFTC, dated Sept. 8, 2016, as amended on Oct. 31, 2016. Both communications are on file with the Commission. 12 This Notice describes the substantive changes to Form 8–R. The Commission also is making a number of minor, non-substantive, or technical changes to Form 8–R that are not described herein. 13 Associated persons and principals must file Form 8–R. 17 CFR 1.3(aa), 3.1(a), 3.10(a) and 3.12. Branch Office Manager is a category that NFA utilizes to ensure proper oversight of branch offices. See NFA Interpretive Notice 9002, Registration Requirements; Branch Offices (Staff, Sept. 6, 1985; revised July 1, 2000; Dec. 9, 2005; and Sept. 30, 2010). 14 17 CFR 1.3(ggg)(6)(iv), 3.11(a)(1). Commission Regulation 3.11(a)(1) was amended in 2012 to require individuals that enter swap orders for the account of an entity floor trader to file a Form 8– R. 77 FR 51898. These individuals are required to file a Form 8–R, but are not required to register with the Commission in any specified capacity. Since 2012, NFA has required these individuals to file a separate, paper version of the Form 8–R titled Floor Trader Order Enterer Application. The revisions to the Form 8–R discussed in this paragraph result from combining the pre-existing, electronic Form 8– R with the paper version for floor trader order enterers. 15 Entities that act as market participants or intermediaries must use the Commission Form 7– R to register with the Commission. 17 CFR 3.10 and 3.11. VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 responsible for entry of orders from an entity floor trader’s own account.’’ 16 In the section titled ‘‘Principal Information,’’ the prior version of Form 8–R contained a blank space in which an applicant entered a title. In the revised Form 8–R, the space is replaced with a menu of available titles. In the ‘‘Fingerprint Card Information’’ section, revised Form 8–R adds two new questions. One new question addresses new requirements and exemptions thereto contained in Commission Regulation 3.21(e) applicable to nonU.S. persons. A non-U.S. natural person may now claim an exemption under Commission Regulation 3.21(e) from the fingerprint submission requirement where the applicant otherwise underwent a qualifying criminal history background check.17 The other new question addresses the fingerprinting requirement exception for certain outside directors of registered firms.18 The sections in Form 8–R titled ‘‘Disciplinary Information—Criminal Disclosures,’’ ‘‘Disciplinary Information—Regulatory Disclosures,’’ and ‘‘Disciplinary Information— Financial Disclosures’’ contain a series of questions that inquire about the disciplinary history of the applicant. These questions are designed to identify and gather information that may reflect on the fitness of the applicant and whether he or she may be subject to a statutory disqualification from registration.19 Among other things, these questions ask about the disciplinary history of ‘‘any entity of which you [the applicant] were a principal at the time the [potentially reportable] activities occurred.’’ The term ‘‘principal’’ as used in the Disciplinary History section of Form 8– R was sometimes understood by applicants to mean that only firms that were subject to Commission registration were relevant. The long-standing interpretation of the term ‘‘principal’’ as used in that context was not limited to the applicant’s status as a principal only for Commission registrants, but also if the applicant served in one of the capacities included in the definition of ‘‘principal’’ for any firm. The definition 16 The revised Form 8–R includes additional conforming changes to incorporate entity floor traders and floor trader order enterers as appropriate. 17 17 CFR 3.21(e); Alternative to Fingerprinting Requirements for Foreign Natural Persons, 81 FR 18743 (Apr. 1, 2016). 18 17 CFR 3.21(c) (permitting an outside director to indicate that he or she will file the appropriate notice required by Commission Regulation 3.21(c) instead of supplying his or her fingerprints). 19 See 7 U.S.C. 12a(2) and (3) (2012). PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 of ‘‘principal’’ is revised to clarify this issue.20 In the section titled ‘‘Disciplinary Information—Regulatory Disclosures,’’ a new question was added to existing Question E. Among other things, Question E inquires whether the applicant (or an entity of which the applicant was a principal) violated, or aided and abetted the violation of, any investment-related statutes or regulations, a potential statutory basis for refusing or conditioning registration.21 The new question directs the applicant to disclose whether he or she has ever been found to have failed to supervise another person’s activities under any investment-related statute or regulation.22 The new question is intended to ensure complete disclosure of conduct that may result in a refusal or limitation on registration. In the section titled ‘‘Disciplinary Information—Financial Disclosures,’’ the Commission revised Question J, which asked whether the applicant has ‘‘currently failed to comply with any order to pay any futures-related civil monetary penalties, restitution amounts, disgorgement amounts, reparation amounts or arbitration awards.’’ As revised, Question J now inquires whether the applicant ‘‘failed to pay any arbitration awards involving CFTCregulated products, CFTC civil monetary penalties, CFTC restitution amounts, CFTC disgorgement amounts, or CFTC reparation amounts.’’ The revision is designed to clarify that this question is not limited solely to unpaid monetary awards related to futures contracts, but also includes unpaid awards related to all products subject to the jurisdiction of the Commission. Lastly, NFA is simplifying the process by which it requests supplemental information and documentation regarding the applicant’s criminal, regulatory, financial, or employment disclosures. The prior version of Form 8–R requested that applicants provide a written explanation of the facts and circumstances regarding any such disclosures. Applicants were also separately requested to provide NFA with copies of pertinent documents associated with each disclosure. To consolidate and modernize this process, the revised Form 8–R allows applicants 20 A provision was added to the definition of ‘‘principal’’ that states, ‘‘[f]or the purpose of answering Questions A, B, C, D, E, F, G, I and K of the Disciplinary History sections, principal also means an individual described in [paragraphs] (1), (2) or (4) above with respect to any entity whether or not the entity is an applicant, registrant, or a person required to be registered under the Act.’’ 21 7 U.S.C. 12(a)(3). 22 See 7 U.S.C. 12(a)(3)(C). E:\FR\FM\28APN1.SGM 28APN1 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Reduction Act (‘‘PRA’’) related to Form 8–R exist under current law. The titles for the existing information collections are ‘‘Registration Under the Commodity Exchange Act,’’ OMB control number 3038–0023, and ‘‘Registration of Swap Dealers and Major Swap Participants,’’ OMB control number 3038–0072. The preliminary view of the Commission is that the revisions to Form 8–R may modify the existing recordkeeping or information collection requirements under the PRA. To ensure compliance with the PRA, the Commission will publish in the Federal Register a separate notice and request for comment on the amended PRA burden associated with the revised Form 8–R.23 The Commission also will submit to OMB an III. Related Matters Paperwork Reduction Act. Recordkeeping or information collection requirements under the Paperwork asabaliauskas on DSK3SPTVN1PROD with NOTICES to complete a separate ‘‘Disclosure Matter Page’’ for each matter, instance, or event requiring disclosure and to simultaneously upload all pertinent documents associated with each disclosure. The Disclosure Matter Page provides applicants with an efficient and effective method of supplying the supplemental information and documentation that NFA requests in the normal course whenever an applicant responds affirmatively to any of the questions regarding criminal, regulatory or financial disclosures. A revised version of Form 8–R that incorporates the changes discussed above, as well as other non-substantive changes, is attached as Appendix A to this Notice. 23 The notice and request for comment on the amended PRA burden will also address reassigning from Form 3–R to Form 8–R the PRA burden associated with providing updated information on Form 8–R. VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 19667 information collection request to amend the information collection, in accordance with 44 U.S.C. 3506(c)(2)(A) and 5 CFR 1320.8(d). Issued by the Commission on April, 24 2017, in Washington, DC. Robert N. Sidman, Deputy Secretary of the Commission. Note: The following appendices will not appear in the Code of Federal Regulations. Appendices to Adoption of Revised Registration Form 8–R Appendix 1—Commission Voting Summary On this matter, Acting Chairman Giancarlo and Commissioner Bowen voted in the affirmative. No Commissioner voted in the negative. Appendix A—Individual Application (Form 8–R) BILLING CODE 6351–01–P E:\FR\FM\28APN1.SGM 28APN1 19668 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Individual Application (Form 8-R) COMMODITY FUTURES TRADING COMMISSION NATIONAL FUTURES ASSOCIATION Instructions for Completing the Individual Application READ THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE APPLICATION. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR THE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF REGISTRATION. THE 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). Not 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. DEFINED TERMS Words 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. GENERAL Read the Instructions and Questions Carefully A 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. Rely Only on Advice from NFA Staff A 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. If 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 of the new information, and the Sponsor must file the update on their behalf. The failure to promptly update information can result in severe consequences, including denial or revocation of registration. VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00017 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.007</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES Update the Information on the Application Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19669 Compliance with Disclosure Requirements of Another Regulatory Body is not Sufficient With 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. Call NFA with Questions If 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" answer, call the NFA Information Center at (800) 621-3570 or (312) 781-1410. Representatives are available from 8:00 a.m. to 5:00p.m., Central Time, Monday through Friday. If the advice of NFA staff is sought, a written record containing the date of the conversation, the name of the NFA staff person giving the advice and a description of the advice should be made during the conversation and kept in the event an issue concerning disclosure of the matter arises later. DISCIPLINARY INFORMATION SECTION Criminal Disclosures Some common mistakes in answering the criminal disclosure questions involve expungements, diversion programs and similar processes. The Commodity Futures Trading Commission requires a "Yes" answer even if the matter has been expunged or the records sealed, there was no adjudication or finding of guilt, the guilty plea was vacated or set aside or the matter was dismissed upon completion of the diversion program. Another common error regarding criminal matters concerns matters that do not involve the futures industry. All criminal matters must be disclosed, even if a matter is unrelated to the futures industry, unless the case was decided in a juvenile court or under a Youth Offender law. Regulatory Disclosures Regulatory actions taken by the Commodity Futures Trading Commission, NFA or U.S. futures exchanges do not need to be disclosed since NFA is already aware of them once they are entered into NFA's BASIC system. Financial Disclosures Only adversary actions that a bankruptcy trustee files must be disclosed. Adversary actions that creditors file are not disclosable. A person named as a party to an adversary action in a bankruptcy proceeding must disclose the action, even if the person is not the bankrupt person. VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00018 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.008</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES It is not necessary to disclose arbitration awards or CFTC reparations matters unless the applicant or registrant has failed to pay an award related to a CFTC-related product or an order entered in a reparations matter. 19670 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices ADDITIONAL DOCUMENTS For each matter that caused a "Yes" answer, a Disclosure Matter Page ("DMP"), which is accessible using NFA's DMP Filing System, must be filed. In addition to the required DMP, other documents about the matter must be provided to NFA. If court documents are unavailable, a letter from the court verifying that must be sent to NFA. If documents other than court documents are unavailable, the person must provide a written explanation for their unavailability. Electronic copies of the documents can be uploaded using NFA's DMP Filing System or you can send documents to NFA by emailing electronic documents to registration@nfa.futures.org, faxing documents to (312) 559-3411 or mailing documents to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago IL 60606. Like answering the questions correctly, providing all documents to NFA is important. Failure to do so will delay the registration process and may result in a denial of the application. DEFINITION OF TERMS (The following terms are defined solely for the purpose of using NFA's Online Registration System.) 10% OR MORE INTEREST: direct or indirect ownership of 10% or more of an entity's stock; entitlement to vote or empowered to sell 10% or more of an entity's voting securities; contribution of 10% or more of an entity's capital; or entitlement to 10% or more of an entity's net profits. ADJUDICATION: in a criminal case, a determination by the court that the defendant is guilty or not guilty. ADVERSARY ACTION: a lawsuit arising in or related to a bankruptcy case commenced by a creditor or bankruptcy trustee by filing a complaint with the bankruptcy court. ALIAS: another name utilized by an individual or previously used by an entity. CHARGE: a formal complaint, information, indictment or equivalent instrument containing an accusation of a crime. DBA: abbreviation for Doing Business As. The firm is doing its futures, retail off-exchange forex or swaps business by this name. DESIGNATED SUPERVISOR: solely for the purpose of determining whether the Branch Manager Examination (Series 30) is required, Designated Supervisor means a person who is registered with FINRA (formerly known as NASD) as a General Securities Representative and has been designated to act as the supervisor of an office that is not an Office of Supervisory Jurisdiction ("non-OSJ"), provided that: • the activity that is conducted in the non-OSJ that requires the Series 3 Examination is supervised by the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports and both the Designated Supervisor and Branch Office Manager have passed the Series 3 Examination. VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00019 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.009</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES • either the futures activity conducted in the non-OSJ that is subject to the Designated Supervisor's supervision is limited to activity not requiring the Series 3 Examination and both the Designated Supervisor and the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports have otherwise satisfied NFA's Proficiency Requirements appropriate to their supervisory activities; or Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19671 ENJOINED: subject to an injunction. ENTITY: any person other than an individual. ENTITY FLOOR TRADER: an applicant that files or registrant that filed a Form 7-R to apply for registration as a floor trader. FELONY: any crime classified as a felony and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of more than one year. The term also includes a general court martial. FINANCIAL SERVICES INDUSTRY: the commodities, securities, accounting, banking, finance, insurance, law or real estate industries. FLOOR TRADER ORDER ENTERER: an individual responsible for entry of orders from an Entity Floor Trader's own account. FOUND: subject to a determination that conduct or a rule violation has occurred. The term applies to dispositions of any type, including but not limited to consent decrees or settlements in which the findings are neither admitted nor denied or in which the findings are for settlement or record purposes only. INDIRECT OWNER: an individual who through agreement, holding companies, nominees, trusts or otherwise: • is the owner of 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities; • is entitled to vote 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities; • has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities; • is entitled to receive 10% or more of an entity's net profits; or • has the power to exercise a controlling influence over an entity's activities that are subject to regulation by the Commission. INVESTMENT RELATED STATUTES: • The Commodity Exchange Act • The Securities Act of 1933 • The Securities Exchange Act of 1934 • The Public Utility Holding Company Act of 1935 • The Trust Indenture Act of 1939 • The Investment Advisers Act of 1940 • The Investment Company Act of 1940 • The Securities Investors Protection Act of 1970 • The Foreign Corrupt Practices Act of 1977 • Chapter 96 of Title 18 of the United States Code VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00020 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.010</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES INTERNAL REVENUE CODE: Section 7203: Willful Failure to File Return, Supply Information or Pay Tax Section 7204: Fraudulent Statement or Failure to Make Statement Section 7205: Fraudulent Withholding Exemption Certificate or Failure to Supply Information Section 7207: Fraudulent Returns, Statements or Other Documents 19672 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices • • • Any similar statute of a State or foreign jurisdiction Any rule, regulation or order under any such statutes; and The rules of the Municipal Securities Rulemaking Board MISDEMEANOR: any crime classified as a misdemeanor and for states and countries that do not differentiate be-tween a felony or misdemeanor, an offense that could result in imprisonment for any period of at least six days but not more than one year. By way of example, an offense for which the maximum period of imprisonment is 60 days would be considered a misdemeanor. The term also includes a special court martial. NON-U.S.NATURAL PERSON: an individual who has not resided in the U.S. since reaching the age of 18 years. OTHER NAME: For firms or sole proprietors, any other name that the applicant uses or has used in the past for its futures, retail off-exchange forex or swaps business but not the name of any other legal entity that the applicant has an affiliation or association with (see DBA). For individuals, this is any name the person is or has been known by. For example, a maiden name, an alias name that you use or are known by, or a previous name if you have changed your legal name. OUTSIDE DIRECTOR: an individual who is director of an applicant or registrant and who • is not an officer or employee of the applicant or registrant; • is not engaged in or have direct supervisory responsibility over persons engaged in the solicitation of o or acceptance of customers' orders or retail forex customers' orders; o funds, securities or property for participation in a commodity pool; o a client's or prospective client's discretionary account; o leverage customers' orders for leverage transactions; o or acceptance of a swap agreement; or • does not regularly have access to the keeping, handling or processing of: o transactions involving "commodity Interests", as that term is defined in CFTC Regulation 1.3(yy); o customer funds, retail forex customer funds, leverage customer funds, foreign futures or foreign options secured amount, or adjusted net capital. PERSON: an individual, association, partnership, corporation, limited liability company, limited liability partnership, trust, or other form of business organization. PRINCIPAL- means, with respect to an applicant, a registrant, or a person required to be registered under the Act: asabaliauskas on DSK3SPTVN1PROD with NOTICES • • VerDate Sep<11>2014 an individual who is: a sole proprietor of a sole proprietorship; a general partner of a partnership; a director, president, chief executive officer, chief operating officer, chief financial officer, or a person in charge of a business unit, division or function subject to regulation by the Commission of a corporation, limited liability company or limited liability partnership; a manager, managing member or a member vested with the management authority for a limited liability company or limited liability partnership; or a chief compliance officer; or 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00021 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.011</GPH> (1) • • • Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19673 (2) an individual who directly or indirectly, through agreement, holding companies, nominees, trusts or otherwise: • is the owner of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities; • is entitled to vote 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities; • has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities; • is entitled to receive 10% or more of an applicant or registrant's net profits; or • has the power to exercise a controlling influence over an applicant or registrant's activities that are subject to regulation by the Commission; or (3) an entity that: • is a general partner of a partnership; or • is the direct owner of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities; or (4) an individual who or an entity that: • has contributed 10% or more of an applicant or registrant's capital unless such capital contribution consists of subordinated debt contributed by: an unaffiliated bank insured by the Federal Deposit Insurance Corporation; an unaffiliated "foreign bank," as defined in 12 CFR 211.21 (n) that currently operates an "office of a foreign bank," as defined in 12 CFR 211.21 (t), which is licensed under 12 CFR 211.24(a); such office of an unaffiliated, licensed foreign bank; or an insurance company subject to regulation by any State, provided such debt is not guaranteed by an individual who or entity that is not a principal of the applicant or registrant. For the purpose of answering Questions A, B, C, D, E, F, G, I and K of the Disciplinary Information sections, PRINCIPAL also means an individual described in (1 ), (2) or (4) above with respect to any entity whether or not the entity is an applicant, registrant, or a person required to be registered under the Act. SELF-REGULATORY ORGANIZATION (SRO): a private, non-governmental organization authorized to set and enforce standards or conduct for an industry. NFA, FINRA (formerly known as NASD) and the securities and futures exchanges in the U.S. are examples of domestic SROs. VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00022 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.012</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES UNITED STATES CRIMINAL CODE: Section 152: Concealment of assets, making false claims or bribery in connection with a bankruptcy Sections 1341,1342, or 1343: Mail fraud Chapter 25: Counterfeiting and forgery Chapter 47: Fraud or false statements in a matter within the jurisdiction of a United States department or agency Chapter 95 or 96: Racketeering and Racketeering Influence. 19674 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Completing the Proficiency Requirements Section Individuals who are applying for registration as an AP or who are principals of a sole proprietorship must satisfy proficiency requirements. Individuals who have already satisfied the proficiency requirements do not need to complete the Proficiency Requirements section. An individual will have satisfied the proficiency requirements if: NFA has evidence that the individual has taken and passed the National Commodity Futures Examination (Series 3) or the Limited Futures Examination-Regulations (Series 32): within two years prior to the date the application is filed; or more than two years prior to the date the application is filed and since that date there has not been a period of two consecutive years during which the individual was not registered as an AP or FB or was not an approved principal of a registrant; or The individual is registered as a Floor Broker on the date the application is filed. Individuals who must complete the Proficiency Requirements section must indicate whether they intend to use the Series 3 examination or one or more alternative means to satisfying proficiency requirements. Some of the alternatives require that an individual limit the activities that he or she intends to engage in and to pass an alternative examination. Individuals who have already passed an alternative examination do not complete the questions related to alternative examinations if: NFA has evidence that the individual has taken and passed the examination that the individual intends to use to satisfy the alternative proficiency requirement: within two years prior to the date the application is filed; or more than two years prior to the date the application is filed and since that date there has not been a period of two consecutive years during which the individual was not registered as an AP or FB or was not an approved principal of a registrant. Individuals seeking approval as a forex associated person or as a sole proprietor forex firm must satisfy proficiency requirements before engaging in off-exchange forex business with retail customers. Individuals who have already satisfied the proficiency requirements do not need to complete the Proficiency Requirements section. An individual will have satisfied the proficiency requirements if: NFA has evidence that the individual has passed the Series 3 or Series 32 exam requirement (as described above) and NFA has received satisfactory evidence that the applicant has passed the Series 34 within two years of the date the application is filed or since the date the applicant last passed the Series 34 there has not been a period of two consecutive years during which the applicant has not been either registered as an AP or FB or was not an approved principal of a registrant; or Individuals filing as Branch Office Managers must indicate whether they will satisfy the Branch Manager proficiency requirements using the Branch Manager Examination (Series 30) or an alternative. The individual does not complete the Branch Manager proficiency section if the individual has already satisfied the Branch Manager proficiency requirements. An individual will VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00023 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.013</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES The individual was registered as an AP, FB or an approved sole proprietor principal on May 22, 2008, and there has not been a period of two consecutive years since that date during which the applicant has not been either registered as an AP or FB or was not an approved principal of a registrant. Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19675 have already satisfied the Branch Manager proficiency requirements if NFA has evidence that the individual has taken and passed the Series 30 and since the date the individual last ceased acting as a branch office manager, there has not been a period of two consecutive years during which he or she has not been registered as an AP. VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00024 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.014</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES Additional Assistance Additional information regarding registration requirements and specific topics can be found on the Registration page of NFA's web site at www.nfa.futures.org. NFA's Information Center, (800-6213570 or 312-781-141 0), is also available to provide assistance. Its normal hours are Monday through Friday, from 8:00AM to 5:00PM, CT. 19676 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Name Enter all required information. Enter the individual's full legal name. Do not use nicknames or abbreviations. For example, if the individual's name is Charles, enter Charles, not Chuck. First & Middle Name*_ _ _ _ _ _ Last Name (Surname) _ _ _ _ _ _ _ _ _ Suffix_ NFAID#_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ ___ Sponsor Information and Registration Categories Indicate sponsor and office where applicant is located and check category(ies). Sponsor Information Sponsor_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ Main/Branch Office_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ Categories* o o o o Associated Person Branch Office Manager Principal Floor Trader Order Enterer Applicants whose sponsor is designated as a Forex Firm answer this question Will your activities involve the solicitation of customers for managed accounts, pooled investment vehicles, or individual accounts or transactions in off-exchange foreign currency transactions as described in Sections 2(c)(2)(B) or 2(c)(2)(C) of the Act, or the supervision of persons involved in such solicitation activities?* Yes No 0 0 Applicants whose sponsor is designated as a Swap Firm answer these questions Will your activities involve the solicitation of customers for swaps transactions subject to the jurisdiction of the Commodity Futures Trading Commission or the supervision of persons involved in such solicitation activities?* Yes No 0 Swaps transactions only Swaps, futures and options on futures and/or retail off-exchange foreign currency transactions *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00025 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.015</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES Individual's activities involve: 0 o 0 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19677 Associated Person applicants who are registered with other sponsors complete this section. Current Sponsor Information Our records indicate that the applicant is currently an Associated Person of the following sponsor(s). If the applicant is no longer an Associated Person of any sponsor(s) listed below, check all that apply. [Sponsor Name] [Sponsor Name] *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00026 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.016</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES o o 19678 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Floor broker and floor trader applicants complete this section Registration Categories Select category(ies) Categories* Floor Broker Floor Trader o o Yes 0 No Are you requesting a change from floor trader to floor broker? o Yes 0 No *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00027 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.017</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES Are you requesting a change from floor broker to floor trader? o Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19679 Individuals filing as principals complete this section Principal Information Check all that apply. Principal Title* D D D D D D D SOLE PROPRIETOR GENERAL PARTNER DIRECTOR PRESIDENT CHIEF EXECUTIVE OFFICER CHIEF OPERATING OFFICER CHIEF FINANCIAL OFFICER D D D D D D D D 0 Yes 0 No *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00028 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.018</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES 10% or more interest* CHIEF COMPLIANCE OFFICER HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION MANAGER - LLC OR LLP MANAGING MEMBER- LLC OR LLP VESTED WITH MANAGEMENT AUTHORITY- LLC OR LLP OWNER INDIRECT OWNER NO LISTED TITLE 19680 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Personal Information Enter all required information. Other Names Enter any other name by which you are or have been known. First and Middle Name _ _ _ _ _ _ Last Name (Surname) and Suffix_ _ _ _ _ __ Birth Information Enter information about applicant's date and location of birth Date of Birth* (Month) _ _ (Day) _ _ _Year (YYYY) _ __ City**_ _ _ _ _ _ _ _ _ __ State* (US Only) _ _ _ __ Province_ _ _ _ _ _ _ _ __ Count~*-------------- Residential Address P.O. Box address is not acceptable. Street Address 1*_ _ _ _ _ _ _ _ __ Street Address 2_ _ _ _ _ _ _ _ __ Street Address 3_ _ _ _ _ _ _ _ __ City**_ _ _ _ _ _ _ _ _ _ _ _ _State* (US Only) _ _ _ __ Province_ _ _ _ _ _ _ _ _ _ _ _ _,Zip/Postal Code**_ _ _ _ _ _ _ _ __ Count~*------------- *Required to file application **Required to file application for United States address VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00029 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.019</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES U.S. Social Security#_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19681 Floor broker and floor trader applicants complete this section Business Mailing Address Street Address 1*_ _ _ _ _ _ _ _ __ Street Address 2_ _ _ _ _ _ _ _ __ Street Address 3_ _ _ _ _ _ _ _ __ City**_ _ _ _ _ _ _ _ _ _ _ _ _State* (US Only) _ _ _ __ Province_ _ _ _ _ _ _ _ _ _ _ _ _.Zip/Postal Code**_ _ Country*_ _ _ _ _ _ __ E-mail _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ CRDID _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ Fingerprint Card Information o The applicant's properly signed fingerprint cards will be sent to NFA. oThe applicant is a non-U.S. natural person and: Pursuant to CFTC Regulation 3.21 (e), the sponsor has caused a criminal history background check to be performed for the applicant and the criminal history background check: A) Is of a type that would reveal all matters listed under Sections 8a(2)(D) or 8a(3)(D), (E) or (H) of the Act; B) Does not reveal any matters that constitute a disqualification under Sections 8a(2)(D) or 8a(3)(D), (E) or (H) of the Act, other than those disclosed to NFA; and C) Was completed not more than one calendar year prior to the date this application is filed. *Required to file application **Required to file application for United States address Fingerprint Card Demographic Information VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00030 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.020</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES oThe applicant is an outside director and the sponsor will file with NFA a notice pursuant to CFTC Regulation 3.21(c). oThe applicant's fingerprint card was sent to FINRA within the past 90 days. 19682 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Individuals submitting a fingerprint card or who sent a fingerprint card to FINRA within the past 90 days complete this section. The following information is used to conduct a criminal background check with the U.S. Federal Bureau of Investigations. The FBI requires this information to be submitted with your fingerprints to perform this check. Gender* ---------------Eye Color* Height* feet _ _ _ _ ,inch(es) Country of Citizenship ___________ Race* --------------------Hair Color* ------------------Weight* _____,pounds Floor broker and floor trader applicants complete this section Exchange Affiliation Select the exchange(s) at which you have been granted membership or trading privileges or at which you have an application pending. D D D D D D D D *Required to file application Disciplinary Information- Criminal Disclosures VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00031 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.021</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES Chicago Board of Trade Commodity Exchange Inc. CBOE Futures Exchange LLC Chicago Mercantile Exchange ICE Futures US Inc. Minneapolis Grain Exchange NASDAQ Futures Inc. New York Mercantile Exchange Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19683 For additional assistance and information on completing this page refer to the Instructions and Definition of Terms at the beginning of this document. Answer the following questions. YOU MUST ANSWER "YES" TO THE QUESTIONS ON THIS PAGE EVEN IF: • ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR • THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER SUCCESSFUL COMPLETION OF A SENTENCE; OR • A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A CONVICTION; OR • THE RECORD WAS EXPUNGED OR SEALED; OR • A PARDON WAS GRANTED. YOU MAY ANSWER "NO" IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH OFFENDER LAW. For each matter that requires a "Yes" answer to Questions A, B or C below, you must provide additional information by filing a Criminal Disclosure Matter Page ("DMP") for each criminal matter using NFA's DMP Filing system that requests: • • • • • You must also show • • • • • who was involved; when it occurred; what the allegations were; what the final determination was, if any; and the date of the determination. provide documents regarding each criminal matter requiring a "Yes" answer, that the charges; the classification of the offense, i.e., felony or misdemeanor; the plea, sentencing and probation information, as applicable; the final disposition; and a summary of the circumstances surrounding the criminal matter. You may provide these documents electronically using the upload function in the DMP Filing System or sending them to NFA (See Instruction). Question A.* *Required to file application (2) has any entity of which you were a Principal at the time the activities occurred VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00032 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.022</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES (1) Have you personally or 19684 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices ever pled guilty or nolo contendere ("no contest") to or been convicted or found guilty of any felony in any U.S., non-U.S. or military court? oYes o No Question B.* (1) Have you personally or (2) has any entity of which you were a Principal at the time the activities occurred ever pled guilty to or been convicted or found guilty of any misdemeanor in any U.S., nonU.S. or military court which involves: • embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; • violation of sections 7203, 7204, 7205 or 7207 of the Internal Revenue Code of 1986;or • violation of sections 152. 1341, 1342, or 1343 or chapters 25. 4 7, 95 or 96 of the U.S. Criminal Code; or • any transaction in or advice concerning futures, options, leverage transactions or securities? o Yes o No Question C.* (1) Are you personally or (2) is any entity of which you were a Principal at the time the activities occurred a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions? o Yes o No Applicants with all "No" answers above answer this question *Required to file application Applicants with "Yes" answers above answer this question VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00033 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.023</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES Even though you answered "No" to all of the above questions, would you like to provide a Criminal DMP?* o Yes o No Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19685 Will you be filing a Criminal DMP with respect to a new matter?* o Yes o No Disciplinary Information- Regulatory Disclosures VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00034 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.024</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES *Required to file application 19686 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices For additional assistance and information on completing this page refer to the Instructions and Definition of Terms at the beginning of this document. For each matter that requires a "Yes" answer to Questions D, E, F, G, H or I below, you must provide additional information by filing a Regulatory DMP for each regulatory matter using NFA's DMP Filing system that requests: • • • • • • who was involved; when it occurred; what the allegations were; what the final determination was, if any; the date of the determination; and a summary of the circumstances surrounding the regulatory matter. You must also provide documents regarding each regulatory matter requiring a "Yes" answer, that show • the allegations; and • the final disposition. You may provide these documents electronically using the upload function in the DMP Filing System or sending them to NFA (See Instruction). Answer the following questions. Question D.* In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), (1) have you personally or (2) has any entity of which you were a Principal at the time the activities occurred ever been permanently or temporarily enjoined after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving: • any transaction in or advice concerning futures, options, leverage transactions or securities; or • embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property? o Yes o No VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00035 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.025</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES *Required to file application Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19687 Question E.* In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), (1) have you personally or (2) has any entity of which you were a Principal at the time the activities occurred ever been found after a hearing or default or as the result of a settlement, consent decree or other agreement, to: • have violated any provision of any investment-related statute or regulation thereunder; or • have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or • have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or • have failed to supervise another person's activities under any investment-related statute or regulation thereunder? o Yes o No Question F.* (1) Have you personally or (2) has any entity of which you were a Principal at the time the activities occurred ever been debarred by any agency of the U. S. from contracting with the U. S.? o Yes o No Question G.* (1) Have you personally or ever been the subject of any order issued by or a party to any agreement with a U.S. or non-U.S. regulatory authority (other than the CFTC), including but not limited to a licensing authority, or self-regulatory organization (other than NFA or a U.S. futures exchange) that prevented or restricted your ability to engage in any business in the financial services industry? o Yes o No *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00036 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.026</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES (2) has any entity of which you were a Principal at the time the activities occurred 19688 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Question H.* Are any of the orders or other agreements described in Question G currently in effect against you personally? o Yes o No Question 1.* (1) Are you personally or (2) is any entity of which you were a Principal at the time the activities occurred a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions? o Yes o No Applicants with all "No" answers above answer this question Even though you answered "No" to all of the above questions, would you like to provide a Regulatory DMP?* o Yes o No Applicants with "Yes" answers above answer this question Will you be filing a Regulatory DMP with respect to a new matter?* o No *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00037 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.027</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES o Yes Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19689 Disciplinary Information- Financial Disclosures For additional assistance and information on completing this page refer to the Instructions and Definition of Terms at the beginning of this document. For each matter that requires a "Yes" answer to Questions J and K below, you must provide additional information by filing a Financial DMP for each financial matter using NFA's DMP Filing system that requests: • • • • • • who was involved; when it occurred; what the allegations were; what the final determination was, if any; the date of the determination; and a summary of the circumstances surrounding the financial matter. For actions filed with bodies other than NFA or the CFTC, you must also provide documents regarding each financial matter requiting a "Yes" answer that show • • the allegations; and the final disposition. You may provide these documents electronically using the upload function in the DMP Filing System or sending them to NFA (See Instruction). Answer the following questions. Question J.* Have you failed to pay any arbitration awards involving CFTC-regulated products, CFTC civil monetary penalties, CFTC restitution amounts, CFTC disgorgement amounts, or CFTC reparation amounts? o Yes o No Question K.* (1) Have you personally or (2) has any entity of which you were a Principal at the time the activities occurred ever been the subject of an adversary action brought by a U.S. bankruptcy trustee? o No *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00038 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.028</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES o Yes 19690 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Applicants with all "No" answers above answer this question Even though you answered "No" to all of the above questions, would you like to provide a Financial DMP?* o Yes o No Applicants with "Yes" answers above answer this question Will you be filing a Financial DMP with respect to a new matter?* o No *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00039 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.029</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES o Yes Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19691 Disciplinary Information- Employment Disclosures For additional assistance and information on completing this page refer to the Instructions and Definition of Terms at the beginning of this document. For each matter that requires a "Yes" answer to Question L below, you must provide additional information by filing an Employment DMP for each employment matter using NFA's DMP Filing system that requests: • • • • • • who was involved; when it occurred; what the allegations were; what the final determination was, if any; the date of the determination; and a summary of the circumstances surrounding the employment matter. You must also provide documents regarding each employment matter requiring a "Yes" answer that show • • the allegations; and the final disposition. You may provide documents regarding each employment matter electronically using the upload function in the DMP Filing System or sending them to NFA (See Instruction). Answer the following question. Question L.* Have you ever been discharged or permitted to resign for cause as a result of allegations of: • embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or • failure to supervise another person in the conduct of such person's activities as a registrant of the CFTC, SEC, NFA, FINRA or other U.S. or non-U.S. self-regulatory organization? o Yes o No Applicants with a "No" answer above answer this question *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00040 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.030</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES Even though you answered "No" to all of the above questions, would you like to provide an Employment DMP?* o Yes o No 19692 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Applicants with "Yes" answers above answer this question Will you be filing an Employment DMP with respect to a new matter?* o No *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00041 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.031</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES o Yes Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19693 Employment, Education and Residential History Employment and Education History The CFTC requires that the sponsor attempt to communicate with all of the applicant's previous employers and educational institutions for the past three years and to maintain documentation in their files that includes the names of the persons contacted and the dates of contact or, if no contact was made, the reason why. Enter your employment and personal history, working back 10 years. All time must be accounted for, including self-employment, part-time employment, unemployment, military service and full-time education. If more spaces are needed, complete the information in another document and attach it to this document. Month and Year From*: To: EmploymenUSchool Name*: - - - - - - - - _ _ _ _ _ _ _ __ Location: _ _ _ _ _ _ _ - - - - - - - - - (leave blank if current) (City, state or country) Position Held and Reason for Leaving: ------ Month and Year From*: To: EmploymenUSchool Name*: -----------------Location: ---------------(leave blank if current) (City, state or country) Position Held and Reason for Leaving: ------ Month and Year EmploymenUSchool From*: Name*: - - - - - - - - _ _ _ _ _ _ _ __ To: Location: _ _ _ _ _ _ _ - - - - - - - - - (leave blank if current) (City, state or country) Position Held and Reason for Leaving: Month and Year Name*: -----------------Location: ----~----------(leave blank if current) (City, state or country) Position Held and Reason for Leaving: ------ *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00042 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.032</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES From*: To: EmploymenUSchool 19694 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Residential History List your residential addresses, working back five (5) years. All time must be accounted for. Post office box address is not acceptable. If more spaces are needed, complete the information in another document and attach it to this document. Month and Year Residential Address From:* ------------------- To: --------------------(leave blank if current) Month and Year Residential Address From:* ------------------- To: --------------------(leave blank if current) Month and Year Residential Address From:* ------------------- To: --------------------(leave blank if current) Residential Address Month and Year From:* ------------------- To: --------------------(leave blank if current) Residential Address Month and Year From:* ------------------- --------------------(leave blank if current) *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00043 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.033</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES To: 19695 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Associated Person applicants and principals of sole proprietors complete this section Proficiency Requirements Answer the following questions. Have you passed the Series 3 Examination within the past two years?* o Yes o No Only individuals intending to use an alternative(s) to satisfy the proficiency requirements complete this section. Check one of the following, if applicable If you are a registered General Securities Representative of the sponsor, and your futures activity will be limited to any of the two following activities, check each that applies: o You limit futures activities to those activities covered in the Futures Managed Funds Examination (Series 31 ): the solicitation of pool participants and/or the solicitation of discretionary accounts managed by aCTA, or the supervision of others engaged in such solicitations. Have you passed the Series 31 Examination within the past two years?* o Yes o o o No You limit your futures activity as provided in Registration Rule 401 (b) to referring clients to another AP of the sponsor or to supervising others who make such referrals. Check here if you have been registered or licensed to solicit futures business by a foreign regulatory authority located in Canada or the United Kingdom within the past two years and are therefore eligible to satisfy the proficiency requirements by passing the Limited Futures Examination - Regulations (Series 32). Have you passed the Series 32 Examination within the past two years?* o Yes o No Check here if your sponsor is a CPO that trades swaps subject to the jurisdiction of the CFTC in a commodity pool that but for the trading of such swaps would be eligible for the exclusion under CFTC Regulation 4.5(c)(2)(iii)(A) or (B) or the exemption under CFTC Regulations 4.13(a)(3) and the sponsor has been granted or is seeking a waiver from the Series 3 for its APs pursuant to NFA Registration Rule 401 (e)(2)(ii) or if your sponsor is aCTA that provides advice on behalf of the sponsor to a commodity pool as described above. o Check here if your sponsor is a CPO that operates pools primarily engaged in securities transactions or a CTA that provides futures trading advice solely incidental to its securities advisory services and your sponsor has been granted or is seeking a waiver from the Series 3 for its APs pursuant to the Interpretive Notices to Registration Rule 402. *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00044 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.034</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES o 19696 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices Only individuals filing as a forex associated person complete this section. Have you passed the Series 34 Examination within the past two years?* o Yes o No Only individuals filing as a branch office manager complete this section o No Are you eligible to be a Branch Office Manager or Designated Supervisor o Yes under FINRA rules?* o No *Required to file application VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00045 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.035</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES Have you passed the Series 30 Examination within the past two years?* o Yes Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19697 OMB Numbers 3038-0023 and 3038-0072 You are not required to provide the information requested on a form subject to the Paperwork Reduction Act unless the form displays a valid OMB Control Number. The time needed to complete and file Form 7-R, Form 7-W, Form 8-R and Form 8-T may vary depending upon individual circumstances. The estimated average times are: Form 7-R FCM SD MSP RFED 0.6 1.1 1.1 0.6 hours hour hour hours IB CPO CTA FT 0.5 0.5 0.5 0.6 hours hours hours hours Form 7-W Form 8-R Form 8-T 0.1 hours 1.0 hour 0.2 hours Privacy Act Notice The information in Forms 7-R, 7-W, 8-R and 8-T and on the fingerprint card is being collected pursuant to authority granted in Sections 2(c), 4f, 4k, 4n, 4s, Sa and 19 of the Commodity Exchange Act, 7 U.S.C. 2(c), 6f, 6k, 6n, 6s, 12a and 23. Under Section 2(c), it is unlawful for anyone to engage in off-exchange foreign currency futures transactions or off-exchange foreign currency leveraged, margined or financed transactions with persons who are not eligible contract participants without registration, or exemption from registration, as a retail foreign exchange dealer, futures commission merchant, introducing broker, commodity pool operator or commodity trading advisor, as appropriate. Under Section 4d of the Commodity Exchange Act, 7 U.S.C. 6d, it is unlawful for anyone to act as a futures commission merchant or introducing broker without being registered in that capacity under the Act. Under Section 4m of the Commodity Exchange Act, 7 U.S. C. 6m, it is unlawful for a commodity trading advisor or commodity pool operator to make use of the mails or any means or instrumentality of interstate commerce in connection with his business as a commodity trading advisor or commodity pool operator without being registered in the appropriate capacity under the Act, except that a commodity trading advisor who, during the course of the preceding 12 months, has not furnished commodity trading advice to more than 15 persons and does not hold himself out generally to the public as a commodity trading advisor, need not register. Under Section 4s of the Commodity Exchange Act, 7 U.S.C. 6s, it is unlawful for anyone to act as a swap dealer or major swap participant without being registered in that capacity under the Act. Under Section 19 of the Commodity Exchange Act, 7 U.S. C. 23, and Section 31.5 of the CFTC's regulations, it is unlawful for anyone to act as a leverage transaction merchant without being registered in that capacity under the Act. The information requested in Form 8-R and on the fingerprint card will be used by the CFTC or NFA, as appropriate, as a basis for conducting an inquiry into the individual's fitness to be an associated person, floor broker or floor trader or to be a principal of a futures commission merchant, swap dealer, major swap participant, retail foreign exchange dealer, introducing broker, commodity VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00046 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.036</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES The information requested in Form 7-R is designed to assist NFA and the CFTC, as appropriate, in determining whether the application for registration should be granted or denied and to maintain the accuracy of registration files. The information in Form 7-W is designed to assist NFA and the CFTC in determining whether it would be contrary to the requirements of the Commodity Exchange Act, or any rule, regulation or order thereunder, or the public interest to permit withdrawal from registration. 19698 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices trading advisor, commodity pool operator, leverage transaction merchant or non-natural person floor trader. Portions of the information requested in Form 8-R will be used by the CFTC and, in appropriate cases, by NFA, to confirm the registration of certain associated persons. The information requested in Form 8-T will be used by the CFTC, and, in appropriate cases, by NFA, to record the registration status of the individual and, in appropriate cases, as a basis for further inquiry into the individual's fitness to remain in business subject to the CFTC's jurisdiction. With the exception of the social security number and Federal employer identification number, all information in Forms 8-R and 8-T must be furnished. Disclosure of the social security number and Federal employer identification number is voluntary. The social security number and the Federal employer identification number are sought pursuant to the Debt Collection Improvement Act of 1996, which allows the CFTC to use the social security number or taxpayer identifying numberfurnishedto the CFTC as part ofthe registration process for purposes of collecting and reporting on any debt owed to the U.S. Government, including civil monetary penalties. Although voluntary, the furnishing of a social security number or Federal employer identification number assists the CFTC and NFA in identifying individuals and firms, and therefore expedites the processing of those forms. The failure by an applicant, registrant or principal to timely file a properly completed Form 7-R and all other related required filings may result in the denial of an application for registration or withdrawal thereof or, in the case of an annual records maintenance fee, treating the registrant as having petitioned for withdrawal. Failure by an applicant, registrant or principal to timely file or cause to be filed a properly completed Form 8-R or 8-T, any other required related filings, or a fingerprint card may result in the lapse, denial, suspension or revocation of registration, withdrawal of the application or other enforcement or disciplinary action by the CFTC or NFA. NFA makes available to the public on NFA website(s), including the Background Affiliation Status Information Center (BASIC), firm directories, business addresses, telephone numbers, registration categories, effective dates of registration, registration status, and disciplinary action taken concerning futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisors, swap dealers, major swap participants and retail foreign exchange dealers and their associated persons and principals; non-natural person floor traders and their principals; and floor trader order enterers. Additional information on Forms 7-R, 7-W, 8-R and 8-T is publicly available, and may be accessed by contacting the National Futures Association, Registration Department, Suite 1800, 300 S. Riverside Plaza, Chicago, IL 60606-6615, except for the following information, which is generally not available for public release unless required under the Freedom of Information Act (FOIA) : • The fingerprint card, including its demographic information; • social security number; • date of birth; any supplementary information filed in response to the Form 8-R "Personal Information," "Disciplinary Information," "Matter Information," or "Disclosure Matter" sections, Form 8-T "Withdrawal Reasons," "Disciplinary Information," or "Matter Information" sections, and Form 7-W, "Additional Customer Information" sections. 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00047 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.037</GPH> current residential address; and • VerDate Sep<11>2014 location of birth; • asabaliauskas on DSK3SPTVN1PROD with NOTICES • 19699 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices The CFTC, or NFA acting in accordance with rules approved by the CFTC, may disclose to third parties any information provided on Forms 7-R, 7-W, 8-R and 8-T pursuant to the Commodity Exchange Act, 7 U.S.C. 1 et. seq., Privacy Act of 1974, 5 U.S.C. 552a (Privacy Act), and the Commission's Privacy Act routine uses published in the Federal Register, which may include, but is not limited to, disclosure to Federal, state, local, or foreign law enforcement or regulatory authorities acting within the scope of their jurisdiction or for their use in meeting responsibilities assigned to them by law. The information will be maintained and disclosures will be made in accordance with CFTC Privacy Act System of Records Notice CFTC-12, National Futures Association (NFA) Applications Suite System (Exempted), CFTC-10, Investigatory Records (Exempted), or another relevant System of Records Notice, available from the CFTC "Privacy Program" page, ;..;;.;;;.;=..:..u....;;,~~,;;;.:...;;,=c~"-""..;;;;;.;..,=,;;;;.:...;:;;.;;..;..;::..u..,;;_:...;,..;;..;;;;.,;;;..z...;:;;;..:..;c=· If an individual believes that information on the forms is the individual may to 17 CFR to treat such information as confidential in response to under FOIA. 5 U.S.C. 552. The of a for confidential does not that the information will be treated The CFTC will make no determination as to confidential treatment of information submitted unless and until the information is the of an FOIA This notice is provided in accordance with the requirements ofthe Privacy Act, 5 U.S.C. 552a(e)(3), and summarizes some of an individual's rights under the Privacy Act, 5 U.S.C. 552a. Individuals desiring further information should consult the CFTC's regulations under the Privacy Act, 17 CFR Part 146, and under the Freedom of Information Act, 17 CFR Part 145, and the CFTC's published System of Records Notices, which describe the existence and character of each system of records maintained by the CFTC, available at the CFTC "Privacy Program" page. and executed in with may Forms which have not been not be for of this form shall not constitute any information is current or Misstatements or omissions of fact may constitute federal criminal violations [7 U.S.C. 13 and 18 U.S.C. or for from certifies that: the Form 8-R to the best of the information and of the circumstances under which the has accurate and that in answers and statements in the Form 8-R are not the AP and or Floor Trader Order Enterer file the Form 8-R on the AP Forex AP the behalf or the Floor Trader Order Enterer's to file the Form 8- to communicate with all of the has communicated or has and educational institutions for the three years and has documentation on file with the names of the persons contacted and the dates of contact or, if no contact was VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00048 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.038</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES R and to make the certifications and 19700 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices the reason the has been hired or is or that it is the intention of the Sponsor to hire or otherwise as an AP, Forex AP or AP within 30 days after receipt of notification that the applicant has received a license or has been the license or has been to act as an AP until the as an AP has verified that the of the if the applicant is that the has reviewed the information has received a copy of the notice of the institution of any nn•r~·"" the under Sections 6(c), 7 U.S.C. 9, and rules or that was instituted in accordance with the Rules within the 3.51 or Part 500 ofthe NFA resulted in the Commission or NFA the withdrawal of such C\lc•Tcoln<-. and ""c·'""''""' that is 8a or 9 of the 3.55 or 3.60 to any current NFA or Commission order conditions on the that the meets the set forth in NFA to sponsor a conditioned registrant, that it has reviewed the conditions contained in any current NFA or Commission order conditions on the of the and that the will the applicant in accordance with the conditions contained in the and the has and will such measures as are necessary to the unwarranted dissemination of any of the information contained in the Form 8-R and the records and documents retained in of the Form 8-R. that: while the individual is an forex AP or AP or a orders on behalf of the Floor Trader's own or is to the information contained VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00049 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.039</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES of criminal under Section of the and 18 U.S.C. 1001 for any false statements or omissions Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19701 it is the duty and an individual as an AP with a statutory 7 U.S.C. 12(a)(2Lto notify the Commission when any individual associated with the Sponsor is to a statutory under Section of the Act and to any individual for whom the with a view toward him violations of the Act and the orders and the information contained in the Form 8-R has been to the of it to the information contained in the Form 8-R. for the sole purpose The applicant, principal or Floor Trader Order Enterer verifies that: the answers and statements in the application or Form 8-R are true, and accurate and that in of the circumstances under which the or Floor Trader Order Enterer has in any material given them, the answers and statements in the Form 8-R are not The certifies that if applying for a that the rules or any 3.51 or Part 500 of the resulted in the Commission or NFA for in any Rules and, within the the withdrawal of such The applicant, or Floor Trader Order Enterer the that: to the of criminal and 18 U.S. C. 1001 for any false the residential address on the Form 8-R may be deemed to be the address for delivery to the or Floor Trader Order Enterer of any written communications from the Commission and NFA, revoke or otherwise affect the or individual's status as any summons, claim, arbitration claim, order or subpoena; for or any other written communication VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00050 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.040</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES the or Floor Trader Order Enterer is at all times for the information in the Form 8-R in a accurate and current manner by promptly the whenever any of the information on the Form 8-R is no accurate or current the to electronically file 19702 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices unless the purpose; or Floor Trader Order Enterer another address for this or must keep current the residential address provided on the Form 8-R while as an AP or affiliated as a principal and for two years after termination of or and is not and may not act as an AP until a notice has been issued that or a TL has been if the may not act as a Forex AP until is not approved as a AP and may not act as a The applicant, or Floor Trader Order Enterer authorizes that: and any contract market of which the CFTC ofthe or for Associate status and NFA may conduct a or non-U.S. on behalf of NFA NFA to that any person, but not limited to contract furnish upon to NFA or any NFA in connection with any any information determine the fitness for or fitness of the of the Floor Trader Order and The or Floor Trader Order Enterer agrees that: the or Floor Trader Order Enterer will fitness for or Associate status or any which may include rnln+~>rh promptly and fully, consistent or of the Floor Trader Order the submission of documents and information to NFA that NFA, in its or fitness for roncic+lrO>h or Associate status or of the Floor Trader Order Enterer; of any contract market, of which the CFTC l.lO(j)) ofthe any person information to NFA or any on behalf of NFA in connection with the so authorized is released from any and all of whatever nature reason of such information to NFA or any on behalf of N VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00051 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.041</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES contract Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices 19703 as an associated person, the is also applying is or becomes a Member of NFA; and if the applicant is and remain bound as an Associate of a Member of the shall become NFA without limitation all NFA Rules, Financial Rules, Code of Arbitration and Member Arbitration Rules, as then and thereafter in and that this shall apply each time that the applicant is as an Associate. Floor Broker/Floor Trader Agreement The applicant certifies that: the answers and statements in the Form 8-R are true, complete and accurate and that in light of the circumstances under which the applicant has given them, the answers and statements in the Form 8-R are not misleading in any material respect. The applicant acknowledges that: the applicant is subject to the imposition of criminal penalties under Section 9(a) of the Commodity Exchange Act, 7 U.S. C. 13(a), and 18 U.S. C. 1001 for any false statements or omissions made in the Form 8-R; the applicant is responsible at all times for maintaining the information in the Form 8-R in a complete, accurate and current manner by electronically filing updates to the information contained therein; the business address provided on the Form 8-R may be deemed to be the address for delivery to the applicant of any written communications from the Commission and NFA, including any notice of intent to deny, revoke or otherwise affect the applicant's registration; any summons, complaint, reparations claim, arbitration claim, order or subpoena; request for information; or any other written communication unless the applicant specifies another address for this purpose; the applicant must keep current the business address provided on the Form 8-R while registered and for two years after termination of registration; and the applicant is not registered and may not act as an FB or FT until a notice has been issued that registration or a temporary license has been granted. The applicant authorizes that: and requests that any person, including but not limited to contract markets or non-U.S. regulatory or law enforcement agencies, furnish upon request to NFA or any agent acting on behalf of NFA any information requested by NFA in connection with any investigation conducted by NFA to VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 PO 00000 Frm 00052 Fmt 4703 Sfmt 4725 E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.042</GPH> asabaliauskas on DSK3SPTVN1PROD with NOTICES NFA may conduct an investigation to determine the applicant's fitness for registration; 19704 Federal Register / Vol. 82, No. 81 / Friday, April 28, 2017 / Notices BILLING CODE 6351–01–C BUREAU OF CONSUMER FINANCIAL PROTECTION Academic Research Council Meeting Bureau of Consumer Financial Protection. ACTION: Notice of public meeting. AGENCY: This notice sets forth the announcement of a public meeting of the Academic Research Council (ARC or Council) of the Consumer Financial Protection Bureau (Bureau). The notice also describes the functions of the Council. Notice of the meeting is permitted by section 8 of the ARC Charter. asabaliauskas on DSK3SPTVN1PROD with NOTICES SUMMARY: The meeting date is Wednesday, May 17, 2017, 9:00 a.m. to 12:00 p.m. eastern standard time. ADDRESSES: The meeting location is Consumer Financial Protection Bureau, DATES: VerDate Sep<11>2014 17:38 Apr 27, 2017 Jkt 241001 1275 First Street NE., Washington, DC 20002. FOR FURTHER INFORMATION CONTACT: Emily Turner, Director’s Financial Analyst, 202–435–7730, CFPB_ AcademicResearchCouncil@cfpb.gov, Academic Research Council, Office of Research, 1275 First Street NE., Washington, DC 20002. SUPPLEMENTARY INFORMATION: I. Background Section 1013(b)(1) of the Consumer Financial Protection Act, 12 U.S.C. 5493(b)(1), establishes the Office of Research (OR) and assigns to it the responsibility of researching, analyzing, and reporting on topics relating to the Bureau’s mission, including developments in markets for consumer financial products and services, consumer awareness, and consumer behavior. The Academic Research Council is a consultative body comprised of scholars that help the Office of Research perform these responsibilities. Section 3 of the ARC PO 00000 Frm 00053 Fmt 4703 Sfmt 4703 Charter states: The Council will provide the Office of Research advice and feedback on research methodologies, framing research questions, data collection, and analytic strategies. Additionally, the Council will provide both backward- and forward-looking feedback on the Office of Research’s research work and will offer input into its research strategic planning process and research agenda. Specifically, Section 8(d) of the ARC Charter states: (1) The Council will convene in person from time to time at the call of the Assistant Director or the Assistant Director’s designee, but at a minimum shall meet annually. Council members may also make additional visits to the Bureau or participate in additional meetings for educational or other research-related purposes. II. Agenda The Academic Research Council will discuss methodology and direction for consumer finance research at the Bureau. Persons who need a reasonable accommodation to participate should E:\FR\FM\28APN1.SGM 28APN1 EN28AP17.043</GPH> [FR Doc. 2017–08558 Filed 4–27–17; 8:45 am]

Agencies

[Federal Register Volume 82, Number 81 (Friday, April 28, 2017)]
[Notices]
[Pages 19665-19704]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-08558]


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COMMODITY FUTURES TRADING COMMISSION


Adoption of Revised Registration Form 8-R

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.

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SUMMARY: The Commodity Futures Trading Commission (the ``Commission'' 
or ``CFTC'') is revising its Form 8-R, the application form that 
individuals must use to register with the Commission as an associated 
person of a registrant, floor broker, or floor trader, or to be listed 
as a principal of a registrant (collectively, ``applicants'').

DATES: Effective Date: The new, revised version of Form 8-R shall be 
effective (and the prior version shall cease to be effective) when the 
National Futures Association (``NFA'') makes the new, revised version 
of the Form 8-R available on the NFA Web site for use by individual 
applicants.

FOR FURTHER INFORMATION CONTACT: Erik F. Remmler, Deputy Director, 
(202) 418-7630, eremmler@cftc.gov; Laura Gardy, Associate Director, 
(202) 418-7645, lgardy@cftc.gov; or August A. Imholtz III, Special 
Counsel, (202) 418-5140, aimholtz@cftc.gov, Division of Swap Dealer and 
Intermediary Oversight, Commodity Futures Trading Commission, 1155 21st 
Street NW., Washington, DC 20581.

SUPPLEMENTARY INFORMATION: 

I. Background

    Individuals acting in certain capacities in the markets regulated 
by the Commission must file a completed Form 8-R with NFA.\1\ These 
applicants include: Associated persons of futures commission merchants, 
retail foreign exchange dealers, introducing brokers, commodity trading 
advisors, commodity pool operators, and leverage transaction merchants; 
floor brokers; and floor traders.\2\ Additionally, any individual 
acting in the capacity as principal of a futures commission merchant, 
retail foreign exchange dealer, introducing broker, commodity trading 
advisor, commodity pool operator, swap dealer, major swap participant, 
floor trader or leverage transaction merchant also must file a 
completed Form 8-R.\3\ Lastly, individuals that enter orders for floor 
trader firms must file the Form 8-R as well.\4\ Individual applicants 
have been required to use Form 8-R since 1977.\5\
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    \1\ 17 CFR 3.10(a)(2), 3.11(a), and 3.12(c).
    \2\ 17 CFR 3.11(a); 3.12(c).
    \3\ 17 CFR 3.1(a); 3.10(a)(2); 3.11(a)(1). While ``principal'' 
is not technically a registration class and principals do not apply 
for registration, for purposes of this Notice, the Form 8-R filings 
by principals will be referred to with the other Form 8-R filings as 
``registration applications.''
    \4\ 17 CFR 3.11(a)(1).
    \5\ 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).
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    Form 8-R requests information about the applicant that can be used 
to assess the applicant's fitness to engage in business as a 
derivatives professional. Form 8-R is a Commission form maintained and 
used primarily by the NFA. NFA is currently the only registered futures 
association authorized by the Commission in accordance with Section 17 
of the Commodity Exchange Act (``Act'').\6\ Pursuant to Section 17(o) 
of the Act,\7\ Regulation 3.2,\8\ and a series of orders, the 
Commission delegated to NFA certain registration functions including, 
among other things, the processing of all Form 8-R filings.\9\ Since 
the first delegation to NFA in 1984, NFA has developed substantial 
expertise in registration matters, including reviewing and processing 
completed Forms 8-R. In 2002, with the approval of the Commission, NFA 
transitioned from a paper-based registration system to an online 
registration system that utilizes, among other things, an electronic 
version of Form 8-R.\10\
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    \6\ 7 U.S.C. 21 (2012).
    \7\ 7 U.S.C. 21(o) (2012).
    \8\ 17 CFR 3.2.
    \9\ See, e.g., Introducing Brokers and Associated Persons of 
Introducing Brokers; Authorization of National Futures Association 
to Perform Commission Registration Functions, 48 FR 35158 (Aug. 3, 
1983); Performance of Registration Functions by National Futures 
Association, 49 FR 39593 (Oct. 9, 1984) (futures commission 
merchants, commodity pool operators, commodity trading advisors, and 
associated persons thereof); Performance of Registration Functions 
by National Futures Association; Delegation of Authority, 51 FR 
34490 (Sept. 29, 1986) (floor brokers); Performance of Registration 
Functions by National Futures Association with Respect to Floor 
Traders and Floor Brokers, 58 FR 19657 (Apr. 15, 1993); and 
Performance of Registration Functions by National Futures 
Association with Respect to Swap Dealers and Major Swap 
Participants, 77 FR 2708 (Jan. 19, 2012).
    \10\ Registration of Intermediaries, 67 FR 38869 (June 6, 2002). 
The transition to an online registration system has permitted 
greater efficiencies, including allowing individuals to update their 
existing Forms 8-R instead of completing a separate Form 3-R. To 
that end, in 2012, the Commission eliminated the requirement that 
registrants and individuals use Form 3-R to update information in 
their existing Form 7-R or 8-R, and provided that an update to a 
registrant's online Form 7-R or 8-R would automatically create a 
record of changes equivalent to a completed Form 3-R. Registration 
of Intermediaries, 77 FR 51898 (Aug. 28, 2012); see also, 
Registration of Intermediaries, 76 FR 12888, 12891 (proposed Mar. 9, 
2011).

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[[Page 19666]]

II. Revisions To Commission Form 8-R

    NFA has requested that the Commission make several changes to Form 
8-R.\11\ Upon consideration of NFA's request, the Commission is 
revising and updating Form 8-R. In addition, the Commission is updating 
the Form 8-R Privacy Act and Paperwork Reduction Act Statements. The 
Form 8-R revisions are described below.\12\
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    \11\ Request from NFA to CFTC, dated Sept. 8, 2016, as amended 
on Oct. 31, 2016. Both communications are on file with the 
Commission.
    \12\ This Notice describes the substantive changes to Form 8-R. 
The Commission also is making a number of minor, non-substantive, or 
technical changes to Form 8-R that are not described herein.
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    In the section titled ``Sponsor Information and Registration 
Categories,'' Form 8-R previously listed three categories of persons 
that could be associated with a sponsor: Associated persons, branch 
office managers, and principals.\13\ The revised Form 8-R includes a 
fourth category, floor trader order enterer. This addition addresses 
the Form 8-R filing requirement for employees of an entity that is a 
registered floor trader who execute swap transactions on a swap 
execution facility for the floor trader's own account.\14\ In 
connection with this change, the revised Form 8-R includes two newly 
defined terms: ``Entity floor trader'' and ``floor trader order 
enterer.'' ``Entity floor trader'' is defined as an entity that is ``an 
applicant or registrant that filed a Form 7-R for registration as a 
floor trader.'' \15\ ``Floor trader order enterer'' is defined as ``an 
individual responsible for entry of orders from an entity floor 
trader's own account.'' \16\
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    \13\ Associated persons and principals must file Form 8-R. 17 
CFR 1.3(aa), 3.1(a), 3.10(a) and 3.12. Branch Office Manager is a 
category that NFA utilizes to ensure proper oversight of branch 
offices. See NFA Interpretive Notice 9002, Registration 
Requirements; Branch Offices (Staff, Sept. 6, 1985; revised July 1, 
2000; Dec. 9, 2005; and Sept. 30, 2010).
    \14\ 17 CFR 1.3(ggg)(6)(iv), 3.11(a)(1). Commission Regulation 
3.11(a)(1) was amended in 2012 to require individuals that enter 
swap orders for the account of an entity floor trader to file a Form 
8-R. 77 FR 51898. These individuals are required to file a Form 8-R, 
but are not required to register with the Commission in any 
specified capacity. Since 2012, NFA has required these individuals 
to file a separate, paper version of the Form 8-R titled Floor 
Trader Order Enterer Application. The revisions to the Form 8-R 
discussed in this paragraph result from combining the pre-existing, 
electronic Form 8-R with the paper version for floor trader order 
enterers.
    \15\ Entities that act as market participants or intermediaries 
must use the Commission Form 7-R to register with the Commission. 17 
CFR 3.10 and 3.11.
    \16\ The revised Form 8-R includes additional conforming changes 
to incorporate entity floor traders and floor trader order enterers 
as appropriate.
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    In the section titled ``Principal Information,'' the prior version 
of Form 8-R contained a blank space in which an applicant entered a 
title. In the revised Form 8-R, the space is replaced with a menu of 
available titles.
    In the ``Fingerprint Card Information'' section, revised Form 8-R 
adds two new questions. One new question addresses new requirements and 
exemptions thereto contained in Commission Regulation 3.21(e) 
applicable to non-U.S. persons. A non-U.S. natural person may now claim 
an exemption under Commission Regulation 3.21(e) from the fingerprint 
submission requirement where the applicant otherwise underwent a 
qualifying criminal history background check.\17\ The other new 
question addresses the fingerprinting requirement exception for certain 
outside directors of registered firms.\18\
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    \17\ 17 CFR 3.21(e); Alternative to Fingerprinting Requirements 
for Foreign Natural Persons, 81 FR 18743 (Apr. 1, 2016).
    \18\ 17 CFR 3.21(c) (permitting an outside director to indicate 
that he or she will file the appropriate notice required by 
Commission Regulation 3.21(c) instead of supplying his or her 
fingerprints).
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    The sections in Form 8-R titled ``Disciplinary Information--
Criminal Disclosures,'' ``Disciplinary Information--Regulatory 
Disclosures,'' and ``Disciplinary Information--Financial Disclosures'' 
contain a series of questions that inquire about the disciplinary 
history of the applicant. These questions are designed to identify and 
gather information that may reflect on the fitness of the applicant and 
whether he or she may be subject to a statutory disqualification from 
registration.\19\ Among other things, these questions ask about the 
disciplinary history of ``any entity of which you [the applicant] were 
a principal at the time the [potentially reportable] activities 
occurred.'' The term ``principal'' as used in the Disciplinary History 
section of Form 8-R was sometimes understood by applicants to mean that 
only firms that were subject to Commission registration were relevant. 
The long-standing interpretation of the term ``principal'' as used in 
that context was not limited to the applicant's status as a principal 
only for Commission registrants, but also if the applicant served in 
one of the capacities included in the definition of ``principal'' for 
any firm. The definition of ``principal'' is revised to clarify this 
issue.\20\
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    \19\ See 7 U.S.C. 12a(2) and (3) (2012).
    \20\ A provision was added to the definition of ``principal'' 
that states, ``[f]or the purpose of answering Questions A, B, C, D, 
E, F, G, I and K of the Disciplinary History sections, principal 
also means an individual described in [paragraphs] (1), (2) or (4) 
above with respect to any entity whether or not the entity is an 
applicant, registrant, or a person required to be registered under 
the Act.''
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    In the section titled ``Disciplinary Information--Regulatory 
Disclosures,'' a new question was added to existing Question E. Among 
other things, Question E inquires whether the applicant (or an entity 
of which the applicant was a principal) violated, or aided and abetted 
the violation of, any investment-related statutes or regulations, a 
potential statutory basis for refusing or conditioning 
registration.\21\ The new question directs the applicant to disclose 
whether he or she has ever been found to have failed to supervise 
another person's activities under any investment-related statute or 
regulation.\22\ The new question is intended to ensure complete 
disclosure of conduct that may result in a refusal or limitation on 
registration.
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    \21\ 7 U.S.C. 12(a)(3).
    \22\ See 7 U.S.C. 12(a)(3)(C).
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    In the section titled ``Disciplinary Information--Financial 
Disclosures,'' the Commission revised Question J, which asked whether 
the applicant has ``currently failed to comply with any order to pay 
any futures-related civil monetary penalties, restitution amounts, 
disgorgement amounts, reparation amounts or arbitration awards.'' As 
revised, Question J now inquires whether the applicant ``failed to pay 
any arbitration awards involving CFTC-regulated products, CFTC civil 
monetary penalties, CFTC restitution amounts, CFTC disgorgement 
amounts, or CFTC reparation amounts.'' The revision is designed to 
clarify that this question is not limited solely to unpaid monetary 
awards related to futures contracts, but also includes unpaid awards 
related to all products subject to the jurisdiction of the Commission.
    Lastly, NFA is simplifying the process by which it requests 
supplemental information and documentation regarding the applicant's 
criminal, regulatory, financial, or employment disclosures. The prior 
version of Form 8-R requested that applicants provide a written 
explanation of the facts and circumstances regarding any such 
disclosures. Applicants were also separately requested to provide NFA 
with copies of pertinent documents associated with each disclosure. To 
consolidate and modernize this process, the revised Form 8-R allows 
applicants

[[Page 19667]]

to complete a separate ``Disclosure Matter Page'' for each matter, 
instance, or event requiring disclosure and to simultaneously upload 
all pertinent documents associated with each disclosure. The Disclosure 
Matter Page provides applicants with an efficient and effective method 
of supplying the supplemental information and documentation that NFA 
requests in the normal course whenever an applicant responds 
affirmatively to any of the questions regarding criminal, regulatory or 
financial disclosures.
    A revised version of Form 8-R that incorporates the changes 
discussed above, as well as other non-substantive changes, is attached 
as Appendix A to this Notice.

III. Related Matters

    Paperwork Reduction Act. Recordkeeping or information collection 
requirements under the Paperwork Reduction Act (``PRA'') related to 
Form 8-R exist under current law. The titles for the existing 
information collections are ``Registration Under the Commodity Exchange 
Act,'' OMB control number 3038-0023, and ``Registration of Swap Dealers 
and Major Swap Participants,'' OMB control number 3038-0072. The 
preliminary view of the Commission is that the revisions to Form 8-R 
may modify the existing recordkeeping or information collection 
requirements under the PRA. To ensure compliance with the PRA, the 
Commission will publish in the Federal Register a separate notice and 
request for comment on the amended PRA burden associated with the 
revised Form 8-R.\23\ The Commission also will submit to OMB an 
information collection request to amend the information collection, in 
accordance with 44 U.S.C. 3506(c)(2)(A) and 5 CFR 1320.8(d).
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    \23\ The notice and request for comment on the amended PRA 
burden will also address reassigning from Form 3-R to Form 8-R the 
PRA burden associated with providing updated information on Form 8-
R.

    Issued by the Commission on April, 24 2017, in Washington, DC.
Robert N. Sidman,
Deputy Secretary of the Commission.

    Note: The following appendices will not appear in the Code of 
Federal Regulations.

Appendices to Adoption of Revised Registration Form 8-R

Appendix 1--Commission Voting Summary

    On this matter, Acting Chairman Giancarlo and Commissioner Bowen 
voted in the affirmative. No Commissioner voted in the negative.

Appendix A--Individual Application (Form 8-R)

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[FR Doc. 2017-08558 Filed 4-27-17; 8:45 am]
BILLING CODE 6351-01-C