Home > FAQs > Registration > Annual Filings > Are individuals required to make annual filings?

Are individuals required to make annual filings?

No. However, individuals have an ongoing obligation to ensure that the information in their registration records is current. Any updates to registration records must be done in ORS. Floor Brokers and Floor Traders will update their own registration information. APs and principals should ask their firms to update their registration information.

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