Site Index

• About NFA
• Annual Reviews
• Board of Directors
• Committees
• Contáctenos
• Contact Us
• International Outreach Programs
• NFA Leadership
• Who We Are
• Arbitration and Mediation
• An Online Learning Program for NFA Arbitrators
• Arbitration and Mediation
• Arbitration Statistics
• Arbitrator Profile
• Arbitrators
• Arbitrator Training
• Arbitrator Update
• Contact Us
• Customers
• Mediation
• Mediation Services
• Members
• Publication Library
• What to Expect During a Pre-Hearing Conference Call
• BASIC
• BASIC Home/Search
• Contributors
• FAQ
• Feedback
• File a Complaint
• General Search Tips
• Glossary
• Help
• Privacy Statement
• Terms of Use
• Careers at NFA
• Campus Visits
• Careers at NFA
• Compensation and Benefits
• Contact Us
• Current Opportunities
• FAQs
• Compliance
• Commodity Pool Operators (CPOs)
• Commodity Trading Advisors (CTAs)
• Compliance
• Contact Us
• Education and Training
• Futures Commission Merchants (FCMs) and Retail Foreign Exchange Dealers (RFEDs)
• General Compliance Issues
• Introducing Brokers (IBs)
• Joint Audit Committee
• Publication Library
• Electronic Filings
• Annual Questionnaire
• BASIC Case Entry (BASICDE)
• Complaints
• EasyFile (1-FR-IB Filers)
• EasyFile (FOREX Filers)
• EasyFile (Pool Filers)
• EasyFile Support
• Electronic Disclosure Document Filing System
• Electronic Filings
• Exemptions
• Online Registration System (ORS)
• Segregated Funds Investments
• WinJammer™ Online Filing System
• WinJammer Support
• FAQs
• Arbitration and Mediation
• Compliance
• FAQs
• Investor Information
• NFA Assessment Fees
• Registration
• Regulation
• Search FAQs
• Industry Links
• Industry Links
• Investor Information
• Additional Resources
• Education and Training
• Investor Alerts
• Investor Best Practices
• Investor Information
• Investor Newsletter
• Protect Your Identity
• Publication Library
• News Center
• CFTC Rule Submissions
• Comment Letters
• Email Subscriptions
• Enforcement and Registration Actions
• Media Contacts
• Member Newsletter
• News Releases
• Notices to Members
• Petitions for Rulemaking
• RSS Feeds
• Search News Center
• SEC Rule Filings
• Speeches and Testimony
• What's New
• NFA Manual
• Articles of Incorporation
• Bylaws
• Code of Arbitration
• Compliance Rules
• Financial Requirements
• Interpretive Notices
• Manual Table of Contents
• Member Arbitration Rules
• NFA's Functions Explained
• Recent Updates
• Registration Rules
• Search NFA Manual
• View Entire Manual
• Registration
• Agricultural Trade-Option Merchant (ATM)
• Associated Person (AP)
• Available Payment Options
• Available Payment Options
• Begin Enrollment Process
• Commodity Pool Operator (CPO)
• Commodity Trading Advisor (CTA)
• Exempt Foreign Firm Notices
• Fees for Public Records
• Fingerprint Cards
• Floor Broker (FB)
• Floor Trader (FT)
• Futures Commission Merchant (FCM)
• Introducing Broker (IB)
• NFA Directories
• NFA Membership and Dues
• Notice Registered Firms And Limited Purpose FCM
• Obtaining Registration Records
• Online Registration System Overview
• Online Registration System Tutorial
• Online Registration System User Guide
• Principal
• Proficiency Exam Study Outlines
• Proficiency Requirements
• Public Document Request Form
• Registration Advisories / Notices
• Registration Overview for Retail Foreign Exchange Dealers and Forex IB, CTA and CPO Applicants
• Retail Foreign Exchange Dealer (RFED)
• Security Manager Duties (FB, FT)
• Security Manager Duties (FCM, RFED, CPO, CTA, IB)
• Security Manager Password Reset
• Templates and Forms
• Who Has to Register
• Regulation
• CFTC Rule Submissions
• Comment Letters
• Enforcement and Registration Actions
• Index of Interpretive Notices
• News Releases
• Notices to Members
• Petitions for Rulemaking
• Regulation
• SEC Rule Filings