CFTC/NFA Registration

At RQC Group we have an experienced in-house team who will completely manage your CPO or CTA registration. From collation of required documents, to completion of the Form 7-R and Form 8-R applications and finally, any subsequent correspondence regarding registration.

About our service

We will fully guide you through your CPO and CTA registration and provide the appropriate policies and procedures to facilitate your regulatory compliance.

Click here if you would like more information on our CFTC/NFA registration services.

Service Checklist

Establishment of online account via Online Registration System (“ORS”).

Drafting of Form 7-R Application.

Identification and disclosure of Principals, Associated Persons and Branch Managers, if applicable.

Assessment of proficiency requirements for Associated Persons.

Coordination and request of exam waivers for Principals, Associated Persons and Branch Managers, if applicable.

Filing of Form 7-R Application with the NFA and subsequent correspondence regarding registration.

Drafting and filing of Form 8-Rs, including disclosure.

Provision of NFA Compliance Manual drafted to meet the expectations of the NFA.

Provision of compliance monitoring program.