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Home > FAQs > Registration > Filing Applications in ORS > How are firm, Associated Person and prinicipal applications...

How are firm, Associated Person and principal applications for registration filed?

Firms must electronically file their applications (Form 7-R) and the applications for their Associated Persons and principals (Form 8-R) using ORS. NFA no longer accepts any hard copy applications except applications for Broker-Dealers that are eligible for notice registration as an FCM or IB (Notice Form 7-R); and for FCMs and IBs that are eligible for notice registration as Broker-Dealers (Notice Form BD-N).  

The firm authorizes an individual to file applications on the firm's behalf when the firm's Security Manager establishes the person as a "file" security level user.  

The ORS tutorials contain detailed instructions on how to complete the application, update and withdrawal paths for most situations.

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