Home > FAQs > Registration > Filing Applications in ORS > I'm filing an application for an AP, Floor Broker or Trader...

I'm filing an application for an AP, Floor Broker or Trader, branch office manager, or principal. Besides the information requested in the Online Registration System, are there any additional filing requirements I need to be aware of?

Applicants for registration as an AP or designation as a Branch Office Manager or Principal must file a verification of the information contained in the application and submit a fingerprint card. It may also be necessary for NFA to receive evidence from FINRA that the applicant has passed a proficiency examination. FB and FT applicants must file a fingerprint card. AP, FB and FT applicants, Branch Office Managers and principals who are already pending, temporarily licensed, registered or approved are not required to file the fingerprint card if NFA has fingerprint card results on file within the last ninety days.

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