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What is a fitness inquiry?

The Act specifies certain disqualifications from registration, such as criminal and regulatory proceedings that resulted in findings against the applicant. NFA performs an extensive background check to determine whether a disqualification exists. Three essential elements of the background check are the Disciplinary Information questions on the application forms, which require the applicant to disclose and supply detailed information concerning possible disqualifications; the fingerprint cards provided by individuals; and a check against FINRA's CRD database. For foreign applicants, NFA may perform additional background checks with foreign agencies such as regulatory and self-regulatory bodies and Interpol.

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
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