Home > Electronic Filings > EasyFile AP Statutory Disqualification Form Submission

EasyFile AP Statutory Disqualification Form Submission

EasyFile allows swap dealers (SDs) and major swap participants (MSPs) the ability to electronically file criminal and regulatory statutory disqualification forms for its associated persons (APs).

It is the SD/MSP's obligation to determine whether or not a statutory disqualification exists for one of its APs. If a statutory disqualification exists, the SD/MSP may elect to file a Statutory Disqualification Form electronically via NFA's EasyFile System for a determination as to whether NFA would have granted the person registration as an AP despite the statutory disqualification. NFA will assume that each matter being submitted to NFA is a statutory disqualification. The SD/MSP should not submit information to NFA to determine whether or not the statutory disqualification exists. Based solely on the information that the SD/MSP electronically reports on the Statutory Disqualification Form via NFA's EasyFile system, NFA will notify the SD/MSP whether or not NFA would have granted the person registration as an AP despite the statutory disqualification.

If the SD/MSP has already determined that a statutory disqualification exist for one of its APs, it can use the templates below to assist in filing the form electronically using NFA's EasyFile system. NFA will NOT accept a form submitted via fax, mail or email.

SDs/MSPs should NOT submit supporting documentation in connection with Criminal or Regulatory  Statutory Disqualification Form. NFA will make its determination based solely on the information reported on the form.

For additional information see the CFTC  No-Action Relief from Statutory Disqualification Prohibition http://www.cftc.gov/ucm/groups/public/@lrlettergeneral/documents/letter/12-15.pdf

Accessing the System

To access EasyFile, you need to have a security manager in NFA's Online Registration System ("ORS"). Your security manager can then update your security level for EasyFile. The security manager also has the ability to add additional users to the system.

How to Set-up EasyFile AP Statutory Disqualification Form Submission Security

You are accessing a system containing U.S. Commodity Futures Trading Commission records. Your usage may be monitored, recorded, and subject to audit and, by your use, you consent to monitoring and recording. Unauthorized use of the system is prohibited and subject to criminal and civil penalties. The Commission requires that you use a complex password for accessing Commission records and that you change your password at a regular interval. 

Please note that the EasyFile system will not be available for use Monday through Friday from 8:00 p.m. to 9:00 p.m. CST. The system may also be occasionally unavailable at other times due to system maintenance.

System Requirements

This system requires a currently supported version of Microsoft Internet Explorer or Firefox. The highest Internet Explorer (IE) custom security level you may use for this system is Medium-High. NFA recommends keeping browser levels and maintenance current as an overall best practice. Access to confidential data in this system is secured using 128 bit Secure Sockets Layer (SSL). This system also requires cookies and Scripting of Java Applets to be enabled. Contact your network administrator or visit the websites listed below to determine if your system can support these requirements.

Internet Explorer updates are available at:
http://www.microsoft.com/windows/ie

Firefox updates are available at:
http://www.mozilla.com/en-US/

If you have any questions, NFA's Information Center is available Monday through Friday from 8:00 a.m. to 5:00 p.m. CST to answer your questions. Call (312) 781-1410 or toll-free at (800) 621-3570. You may also email inquiries to information@nfa.futures.org.

Log on to EasyFile AP Statutory Disqualification Form Submission

EasyFile AP Statutory Disqualification Form Submission

Resources

EasyFile AP Criminal Statutory Disqualification Form Submission System Help

EasyFile AP Regulatory Statutory Disqualification Form Submission System Help

Submitting an AP Statutory Disqualification Form through EasyFile (video tutorial)

Online Registration System

 

Login to ORS

Forgot Password?      Enroll Now

Check Broker / Firm Information (BASIC)

You can check the registration status and disciplinary history of any futures firm or individual.

Begin Search

Search NFA Manual

You can search the NFA Manual by section, Rule number and/or keywords.

Search OR View the entire Manual.
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy