Intermediaries: Forms & 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.
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Submission |
Forms |
Rules |
Instructions & Remarks |
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Registration as an Intermediary |
National Futures Association (NFA) Online Registration System (ORS) |
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Chief Compliance Officer Annual Report; Swap Dealer or Major Swap Participant |
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Valuation Dispute Report; Swap Dealer or Major Swap Participant |
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Risk Exposure Report; Swap Dealer or 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.