The Commodity Futures Act

Registration Forms (in PDF format):

• Exhibit A - Summary of a Dealer (Futures Commission Merchant)
• Exhibit B - Summary of Individual Registration
• Expedited Renewal Process - Broker-Dealer, Investment-Dealer, Futures Commission Merchant
• Expedited Renewal Process - Dealer (Floor Broker)
• Expedited Renewal Process - Dealer (Merchant)
• Expedited Renewal Process - Local
• Form 1- Summons to Witness – Hearing
• Form 2 - Summons to Witness – Investigation
• Form 3 - Summons to Submit to Examination
• Form 4 - Affidavit of Service
• Form 5 - Application for Registration as a Dealer (floor broker, futures commission merchant or merchant)
• Form 10 - Application for Amendment of Registration as a Dealer or Adviser
• Form 12 - Disclosure Statement for Recognized Market Options
• Form 13 - Risk Disclosure Statement for Futures and Options
• Form 14 - Endorsement of Warrant
• Form 15 - Notice of Change - Branch Office Opening
• Form 16 - Notice of Change - Branch Office Closing
• Form 17 - Notice of Change - Termination Notice
• Form 18 - Report of a Trade made under clause 34(a) of The Commodity Futures Act
• Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Non-Resident Adviser or Dealer
• Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Salesperson, Partner or Officer of Non-Resident Dealer or Non-Resident Adviser
• Form #2674 (89-07) - Securities Fraud Information Centre Request Form