NFA's Logo
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.  

View the Registration video tutorials for more information on how to file firm and individual applications.

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