NFA Online Registration System
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NFA uses a web-based registration and membership filing and processing system [1]. With the exception of the few forms listed below, all required registration forms must be filed in the NFA Online Registration System (ORS).
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NFA suggests that Member firms designate at least two individuals to serve in the role of registration Security Managers [2]. Once the Security Managers are approved by NFA, these folks are responsible for managing the Member firm's registration information. Security managers can review data, create and update records, file terminations, authorize payment of registration fees, etc. They also receive notifications about registration-related NFA issues.
The forms that can not be filed online are:
- Applications for registration as an agricultural trade option merchant (ATM CFTC Form 7-R) and their affiliated individuals (ATM CFTC Form 8-R)
- Notice Form 7-R for Broker-Dealers that are eligible for notice registration as an FCM or IB
- Notice Form BD-N for FCMs and IBs that are eligible for notice registration as Broker-Dealers
- Floor Broker and Floor Trader registration withdrawal requests (Form 8-W)
- Petitions for Confirmation of Exemption from Registration under CFTC Rule 30.10.
Registration-related questions can be answered by the staff in NFA's Information Center at 800 621-3570.
References
- ↑ Online Registration System FAQ. National Futures Association. Retrieved on January 7, 2008.
- ↑ ORS Tutorial. National Futures Association. Retrieved on January 7, 2008.,
