Making Changes to Registration Information in ORS FAQs

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 in ORS. To update any registration information, click on the Update/Withdraw Registration link on the NFA Dashboard. On the Update/Withdraw menu click on Update Registration information under the Internal Processing section. You can search for the firm/individual by Name or NFA ID number. You can access the specific screen that contains the information that should be updated from the entity profile page.  Once on the appropriate screen, click the update button, enter the new information and click the file button.

It depends. Except when changing to or from a sole proprietorship, an applicant or registrant may update its Form 7-R for purposes of reporting a change in its form of organization. If an applicant or registrant updates its Form 7-R to report a change in the applicant's or registrant's form of organization, the newly formed organization will be liable for all obligations of the pre-existing organization which arose out of the Act or the Regulations thereunder.

A registrant or applicant that is changing its form of organization to or from a sole proprietorship, must file a Form 7-R for the newly formed organization and a Form 7-W for the pre-existing organization.

To update any address in ORS, click on the Update/Withdraw Registration menu link on the NFA Dashboard. On the Update/Withdraw menu click on Update Registration information under the Internal Processing section. You can search for the firm/individual by Name or NFA ID number. From the entity profile page, Firm addresses may be updated by clicking the update button on the Business Information page. An individual's residential address may be changed by clicking the update button on the Personal Information page. You must click the file button to complete the changes. 

Firms and individuals while registered and for two years after the termination of registration, and each principal, while affiliated with a registrant and for two years after the termination of his/her affiliation, must notify NFA of any change of any of the addresses provided on the Form 7-R or Form 8-R.