- What type of system requirements and settings do I need to have?
- When will the Online Registration System be available?
- What type of support can I expect as a user of the Online Registration System?
- How does my firm get access to the Online Registration System?
- What are the duties of the firm's Security Manager?
- How does a floor broker or floor trader get access to the Online Registration System?
- What types of tasks do the different security levels allow users to perform?
- Where can the Security Manager find the temporary password if he or she can't remember it?
- What can the Security Manager do if he or she loses or forgets the password after successfully submitting the enrollment form?
- Will firms have only one Security Manager?
- Why do I get an error message telling me my web browser does not support 128-bit encryption when I try to go to the Enrollment web page?
- What if a user forgets his/her UserID or password?
- How does an AP or principal get access to the Online Registration System?
- How long is a temporary UserID and password good for?
- What if I forget my temporary password?
- Can I use my temporary UserID and password to do anything else in ORS?
- Can one firm perform the registration activities for another firm?
What type of system requirements and settings do I need to have?
National Futures Association web-based applications require a currently supported version of Microsoft Internet Explorer or Firefox. NFA recommends keeping browser levels and maintenance current as an overall best practice. Access to confidential data in NFA applications is secured using 128 bit Secure Sockets Layer. (SSL). NFA applications also require cookies and Scripting of Java Applets to be enabled. If you can use the CRD system or transact business on the Internet on web sites like Amazon.com, you should be able to use ORS. Contact your network administrator, use the Help function or visit the web sites listed below to determine if your system can support these requirements.
Internet Explorer updates are available at:
Firefox updates are available at:
When will the Online Registration System be available?
The ORS system is not available for use from 10:00 PM to 2:30 AM CT from Monday through Friday. The system may also occasionally be unavailable at other times due to system maintenance.
What type of support can I expect as a user of the Online Registration System?
ORS contains an online tutorial that provides step-by-step instructions for the most common registration tasks, such as completing a registration application, changing registration information, requesting withdrawal of a firm's registration and notifying NFA of an individual's termination.
In addition, NFA's Information Center (800-621-3570) will be available to answer questions about the Online Registration System and registration requirements. The Information Center's hours of operation are from 8:00 AM to 5:00 PM CT Monday through Friday. You may also e-mail inquiries to information@nfa.futures.org.
How does my firm get access to the Online Registration System?
To use ORS, firms, including sole proprietors, will need to establish security accounts with NFA and designate a Security Manager. To do this, you must access and complete an enrollment form. This form requests information about the individual your firm wishes to act as its Security Manager. When you submit the enrollment form, you will be provided with a temporary password. NFA will notify you by letter when it approves your firm's enrollment request and will provide a UserID for the Security Manager to use along with the temporary password to login to ORS. The first time that the Security Manager logs in, ORS will prompt him or her to change the password, after which the Security Manager will have access to ORS.
What are the duties of the firm's Security Manager?
The Security Manager will have complete authority and responsibility to establish and maintain sub-accounts for other ORS users at your firm. To establish a user sub-account, the Security Manager will enter the name and some identifying information about the user, e.g., social security number and date of birth, and assign one of four security levels for the user. These levels are view only; update; file; and Security Manager. The Security Manager for an IB and/or CPO with financial reporting requirements can also assign one of two security levels for users to access the Easy File System. These levels are enter, and enter and submit. ORS will assign a User name and temporary password for each user the Security Manager establishes, and the user will be prompted to change the password upon logging on to ORS the first time. The Security Manager will administer all of the user sub-accounts. For example, if the user forgets the password, the Security Manager can reset it or if a user leaves your firm, the Security Manger must delete the user's sub-account. In addition, by virtue of being a Security Manager, that person will be able to view, update and file registration information.
How does a floor broker or floor trader get access to the Online Registration System?
Like firms, floor brokers and floor traders must establish security accounts with NFA by completing an enrollment form. However, FB/FTs may not designate anyone except themselves as the Security Manager. When a FB/FT submits the enrollment form, the FB/FT will be provided with a temporary password. NFA will notify the FB/FT by letter when it approves the enrollment request and will provide a UserID for the FB/FT to use along with the temporary password to login to ORS. The first time that the FB/FT logs in, ORS will prompt him or her to change the password, after which the FB/FT will have access to ORS. As their own Security Manager, they can establish other user sub-accounts but may only assign view only or update security levels for those users. The FB/FT Security Manager has the same authority and responsibility for his or her security account as a firm's Security Manager has for a firm's security account.
What types of tasks do the different security levels allow users to perform?
There are six security levels which permit users to perform the following types of tasks:
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ORS
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View
The user can look at information in ORS.
Update
The user can file updates to existing registration information. They can also enter information into applications, firm withdrawal requests and individual withdrawal notices but not file them.
File
The user can file applications, firm withdrawal requests and individual withdrawal notices.
Security Manager
The user can create and delete other security managers and users and modify the security levels of users other than security managers.
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Easy File
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Enter
The user can enter the financial information into the system but not submit the statement.
Enter and Submit
The user can submit the statement.
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Each higher security level includes the ability to perform all the tasks associated with the lower security levels. For example, Update users can also look at information in ORS like a View user can.
Where can the Security Manager find the temporary password if he or she can't remember it?
If the Confirmation page was printed, the temporary password that is generated when enrolling is located on the line above the Security Manager information.
What can the Security Manager do if he or she loses or forgets the password after successfully submitting the enrollment form?
Security Managers can use the password reset process to electronically reset their passwords. There are two ways to access the password reset process. You can select the option from NFA's web site at www.nfa.futures.org using either the Online Registration System menu under the Registration tab or the Electronic Filings menu under the Compliance tab. Alternatively, if you have had three unsuccessful attempts when trying to log in to ORS or EasyFile, you will receive a message that will provide you with a link to the password reset process function.
To reset your password, you will need your Username (ID used to log on to the system) and the Security Manager security information provided on the enrollment form. If any of this information is unknown, you will not be able to use the password reset process. Instead, you will need to contact our Information Center at (800) 621-3570 or (312) 781-1410 to have your password reset.
Will firms have only one Security Manager?
The initial Security Manager that NFA creates for a firm can create additional
Security Managers. If a firm sets up additional Security Managers it can distribute
the responsibility for setting up firms users and managing their accounts, e.g. resetting passwords, deleting accounts for those who leave the firm, etc. It's important to remember that all Security Managers have the same level of authority. There is no "master" Security Manager with respect to system security.
Why do I get an error message telling me my web browser does not support 128-bit encryption when I try to go to the Enrollment web page?
Your browser encryption is set to less than 128 bit Secure Sockets Layer (SSL). The ORS Enrollment site only supports the latest versions of Microsoft Internet Explorer and Firefox.
Refer to: What type of system requirements and settings do I need to have?
What if a user forgets his UserID or password?
Users who forget their UserID or password must contact the Security Manager. The Security Manager can provide the UserID and/or reset the password, as the case may be.
How does an AP or principal get access to the Online Registration System?
Individuals who are AP applicants or principals will only be able to access ORS to complete their application, if their firm lets them, and to verify the application after their firm files it. Their firm will provide them with a temporary UserID and password to perform these functions.
How long is a temporary UserID and password good for?
Each temporary UserID and password are valid until the application for which they were issued is verified.
What if I forget my temporary password?
If you forget your password, you must contact your sponsor's Security Manager to reset your password.
Can I use my temporary UserID and password to do anything else in ORS?
No, only to fill out and verify your application.
Can one firm perform the registration activities for another firm?
Yes. A firm can authorize another firm to perform all of its registration activities. Firms that wish to do this should contact NFA's Information Center (800-621-3570 or 312-781-1410). FCMs that guarantee IBs will automatically have this ability.
If you have any other questions, contact NFA's Information Center at (800) 621-3570 or (312) 781-1410 or e-mail NFA.
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