Intermediaries

Intermediaries: Forms and Submissions

This page contains forms and other documents related to Intermediaries: people who act on behalf of others in connection with futures, swaps, or options trading. Intermediaries are generally required to register with the CFTC and may also be subject to various financial, disclosure, reporting, and recordkeeping requirements. Learn more about Intermediaries in the Industry Oversight section.

Submission

Forms

Rules

Instructions & Remarks

Registration as an Intermediary

National Futures Association (NFA) Online Registration System (ORS)

Part 3

NFA ORS

Chief Compliance Officer Annual Report; Swap Dealer or Major Swap Participant

Submit a Chief Compliance Officer Report

Part 3.3(e)

Swap Dealer

Major Swap Participant

Valuation Dispute Report; Swap Dealer or Major Swap Participant

Submit a Valuation Dispute Report

Part 23.502(c)

Swap Dealer

Major Swap Participant

Risk Exposure Report; Swap Dealer or Major Swap Participant

Submit a Risk Exposure Report

Part 23.600(c)(2)(ii)

Swap Dealer

Major Swap Participant

Information on filing of Futures Commission Merchants and Introducing Brokers financial reports, including CFTC Forms 1FR-FCM and 1FR-IB, is available on NFA’s website.