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Making Changes to Registration Information in ORS FAQs

  1. How do I update registration information for me or my firm?
  2. Can a firm file an update online to notify NFA that it has changed its form of organization?
  3. How can I change addresses online?

1. How do I update registration information for me or my firm?

Firms, Floor Brokers and Floor Traders update their own registration information and firms update the registration information of their APs and principals by filing an Update (Form 3-R) in ORS. To do this, they will access the specific "update" web pages that contain the information that they wish to change and enter and file the new information. These "update" web pages are essentially the pages from the Form 7-R and Form 8-R.

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How do I update registration information for me or my firm?

2. Can a firm file an update online to notify NFA that it has changed its form of organization?

It depends. In most instances, firms may notify NFA of a change in form of organization by filing an Update. If a firm reports a change in the form of organization by filing an Update, the newly formed organization will be liable for all obligations of the pre-existing organization. 

If the reorganized firm does not want to be liable for the obligations of the prior firm, it must apply for a new registration. Firms changing to or from a sole proprietorship must also apply for a new registration. In these instances, the firm needs to file an electronic application (Form 7-R) for the newly formed organization and a Firm Withdrawal Request (Form 7-W) for the pre-existing organization.

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Can a firm file an update online to notify NFA that it has changed its form of organization?

3. How can I change addresses online?

Firm addresses may be changed by clicking on the Firm's Main Office Location link from the Business Location section of the Update/Withdraw Registration Menu. Once this link is selected and an NFA ID is entered, a path will open that will allow you to change all of the addresses that are associated with your firm. Residential addresses may be changed by clicking on the home address link from the Personal Profile section of the Update/Withdraw Registration Menu. Once this link is selected and an NFA ID is entered the Personal Information screen will display, which will allow you to change all of the addresses that are associated with that individual. Residential addresses for Associated Persons and Principals can only be changed by someone at the sponsoring firm that has a security level of either update, file or security manager.

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How can I change addresses online?
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