Enrollment Process

The following tutorial is a step-by-step look at several sections of the Online Registration System (ORS).

For each section of ORS that is displayed in this tutorial, you will see a picture of an important part of an ORS screen and corresponding text under it. If you still need assistance after viewing the tutorial, contact NFA's Information Center.


|  Enrollment Process  |  Navigation Menus |  Search for an NFA ID  |  Firm Path  |  Individual Path  |  Verification  | 
Security Manager Functions  |  Assign an NFA ID  |  Update Disciplinary History  |  Terminate Individual  |


Section 1: ENROLLMENT PROCESS

Enrollment Form 

The purpose of this enrollment form is to establish a security account to use the Online Registration System for the purposes of processing a firm application or Floor Broker and/or Floor Trader applications. This form should not be used to:

  • reset a password; or
  • file a Part 4 Exemption; or
  • add an additional Security Manager; or
  • update or replace an existing Security Manager

After you have decided that you would like to establish a security account, select the Organization Type. If you are processing a Floor Broker and/or Floor Trader application, select the Floor Broker and/or Floor Trader option. If you are processing a firm application select the FCM, RFED, IB, CPO and/or CTA option.

Next, if you are processing a firm application, you are required to select the Form of Organization from the drop down menu. If you are unsure of your firm's form of organization, consult your attorney.


Enrollment Form

If you selected Sole Proprietorship as the Form of Organization, enter the full legal name of the individual that is the Sole Proprietor. This is the Sole Proprietor's name and not a "doing business as name" the Sole Proprietor may be doing business under. Do not use nicknames or abbreviations. For example, if the individual's first name is Charles, enter Charles, not Chuck.

Next, if the Sole Proprietor filed an application before with NFA, enter the NFA ID. If you do not know the NFA ID leave blank and one of our staff persons will enter the NFA ID after the enrollment form has been submitted.

Next, enter the Sole Proprietor's Social Security Number. Although, the Social Security Number is not required it is useful for identification purposes.

Next, enter the Sole Proprietor's Date of Birth. For identification purposes the Date of Birth is required.


Enrollment Form

If you selected Floor Broker and/or Floor Trader as the Organization Type, enter your full legal name. Do not use nicknames or abbreviations. For example, if the individual's first name is Charles, enter Charles, not Chuck.

Next, if you filed an application before with NFA, enter your NFA ID. If you do not know the NFA ID leave blank and one of our staff persons will enter the NFA ID after the enrollment form has been submitted.


Enrollment Form

If you selected any form of organization, except Sole Proprietorship, enter the full legal name that appears on the firm's corporate filings.      

Next, if the firm has filed an application before with NFA, enter the NFA ID. If you do not know the NFA ID leave blank and one of our staff persons will enter the NFA ID after the enrollment form has been submitted.


Security Manager Information

If you selected the Organization Type of FCM, RFED, IB, CPO and/or CTA, enter the name and contact information for the person that has been designated as Security Manager of the firm.  Click here to review the Security Manager Duties.

Next, enter the Security Manager's Social Security Number. Although, the Social Security Number is not required it is useful for identification purposes.

Next, enter the Security Manager's Date of Birth. For identification purposes the Date of Birth is required.


Security Manager Information

If you selected Floor Broker and/or Floor Trader as the Organization Type, enter your contact information. Click here to review the Security Manager Duties.

Next, enter your Social Security Number. Although, the Social Security Number is not required it is useful for identification purposes.

Next, enter your Date of Birth. For identification purposes the Date of Birth is required.


Applicant Main Office Address

If you selected the Organization Type of FCM, RFED, IB, CPO and/or CTA, enter the main business location of the organization. If it is the same address as the Security Manager's address you may copy the Security Manager's address by clicking on the box labeled Same as Security Manager.


Applicant Organization Information

If you have selected the Organization Type of FCM, RFED, IB, CPO and/or CTA and the firm's main office is located in the United States, enter the applicant's organizational information


User Identification

Enter the Security Manager's User Identification information. This User Identification information will be used to verify the identity of the Security Manager in case he/she gets locked out of the system or forgets his/her password. The first question can't be changed, only an answer may be provided. The second question may be selected from a drop down list of ten easy to remember questions. After the Security Manager has selected a question, an answer to the question must be provided.

After the form has been completed and submitted to NFA the screen will return with a temporary password. Please print this screen and keep it for your records as it contains user identification information and the temporary password that will be required to access the NFA Online Registration System.

NFA will notify the Security Manager by letter when it approves his/her enrollment request and will provide a User Name for the Security Manager to use along with the temporary password to log into ORS. The first time the Security Manager logs into ORS he/she will be prompted to change his/her password.

Online Registration System

 

Login to ORS

Forgot Password?      Enroll Now

Electronic Filings

NFA Members can file many of their required documents electronically.

Submit a Filing 

Check Broker / Firm Information (BASIC)

You can check the registration status and disciplinary history of any futures firm or individual.

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