General Information

Below are some general resources that are relevant to all NFA Membership categories. You may refer to these resources on a regular basis as an NFA Member. 

• "NFA Regulatory Requirements for FCMs, IBs, CPOs and CTAs" discusses your regulatory requirements as a CFTC registrant and NFA Member.
• "Forex Transactions: A Regulatory Guide" provides our Members with an understanding of the regulatory requirements that govern retail off-exchange foreign currency (forex) transactions.
• Access the online version of NFA's rulebook: NFA Manual. The NFA Manual also has a search function to help you find the appropriate rules and interpretive notices.
• View the CFTC regulations.
• Become familiar with NFA's Online Registration System (ORS).
  • View the ORS System Overview and visit the ORS tutorial for step-by-step instructions for common registration tasks. NFA also offers Registration video tutorials to help applicants and Members with the registration process.
  • Tip: When listing a new principal or registering a new AP, firms will enter that individual properly, but the new principal or AP must then log into ORS and confirm their new status.
• View public registration information including enforcement and disciplinary history using NFA's Background Affiliation Status Information Center (BASIC).