Navigation Menus

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 2: NAVIGATION MENUS

The two main navigation systems to help users through ORS are the navigation tabs and left hand navigation which appear on each screen.

Navigation Tabs — At the top of each ORS screen are the system navigation tabs. These navigation tabs are menus of screens that the user has access to view or update. The name of the tab will summarize the screens that are on that menu. For example, the Apply for Registration tab will contain screens that will allow the user to process either a firm application or an individual application.

Left Hand Navigation — Along the left side of the view, update and search screens and in the application paths are left hand navigation links. If the user is on a view or update screen, the links are to all the other view or update screens that are on that menu. In addition, if the user is on a view screen, the NFA ID that the user is viewing will transfer to the next screen if the user navigates through other view screens using left hand navigation. If the user is searching for a NFA ID, the links are to the other sections of the Search for an NFA ID screen. If the user is in an application path, the links are to the pages that constitute that particular path and are built as the user progresses through the path. Using the left hand navigation links that appear in an application path will allow the user to jump forward or backward to any page in the path that the user has previously visited.  

In addition to the two main navigation systems, at the top right of each ORS page there are links to NFA's home page and BASIC. Clicking on these links will open a second browser so users will not lose their place in ORS. Whenever this BASIC link is used, the new browser will display the BASIC Home page. A third link, Log Off, will log the user off of ORS and will close the user's browser. If Log Off is clicked before the user clicks Continue or File on the page, any data that the user enters will not be saved.

There are two other links at the top left of each ORS page. Clicking on Online Registration System will take the user to the ORS home page and clicking on the NFA logo will take the user to NFA's home page.

Online Registration Home

The left hand navigation that displays on the ORS home page will contain links to the most recent and important news items. Also, if the firm has a newly generated notice, a New Notices link will display on this page. To transfer to the Notices page simply click on the New Notices link.

In addition, the ORS Home page displays links that will take the user to the same menus as the system navigation tabs. Listed below are examples and brief descriptions of each menu.


Apply for Registration

The user can either begin an application for firms, add additional categories to an active firm by clicking on the Process an Application link or begin an application for firms seeking confirmation of exemption from registration pursuant to CFTC Rule 30.5 by clicking on the "Process a Part 30 Exemption Application" under the firm heading. The user can also begin an application for individuals or add additional categories to an active individual by clicking on the Process an Application link under the individual heading.

 If the user has already started an application process for an individual or firm, but has not yet completed that process the user should click on Finish an Incomplete Application link under the Firm or Individual heading.

If an NFA ID does not already exist for an individual applicant the user may assign an NFA ID by using the Assign an NFA ID link under the individual heading. Before assigning an NFA ID be sure to conduct a thorough search by name and social security number to guarantee that the individual does not already have an NFA ID. For more tips on assigning NFA IDs click here to review the Assign an NFA ID tutorial.


Update/Withdraw Registration

Except for adding a registration category, which takes place on the Apply for Registration Menu, all updates to registration information and all withdrawal notices start by selecting the correct link on the Update/Withdraw Registration menu. The links are descriptively named for the updates that are completed on that screen. Listed below is a brief description of the different sections on the Update/Withdraw Registration menu. 

The Registration And Membership section enables users to update the firm's principal's titles and financial interest information and to file a request to add holding companies as principals of a registrant/applicant.

The Fitness Information section enables users to update the firm's or individual's disciplinary information.

The Personal Profile section enables users to update personal information about any of the firm's associated persons, branch office managers or principals.

The Firm Profile section enables users to update information concerning the firm.

The Business Location section enables users to update business addresses and contact information for the firm.

The Internal Processing section enables the firm to manage and monitor the following registration activity:

  • Processes Not Complete — Displays all application processes that have been opened, but have not yet been filed.  An example would be an individual application that has been started, but has not been filed.  In addition to displaying these processes the ability to delete a process or to finish a process is also included on this screen.
  • Notices — Displays all notices concerning the firm and the individuals that are sponsored by the firm.
  • Outstanding Requirements — Displays all additional filings and additional requirements that are still needed before registration and/or membership can be granted.
  • Guarantor Certification — A filing requirement that must be submitted by an FCM in order to have an IB that is guaranteed by that FCM to be granted a TL.
  • Electronic File Transfer — An application that enables the transfer of data files to NFA.

The withdrawal section enables firms to complete a withdrawal notice or complete a withdrawal notice that has been started, but not filed for an individual or firm.

The Annual Filings section enables firms to complete the firm's annual registration update and annual  questionnaire.


Report Center

This section allows the user to view and print standardized reports.

The Expelled, Suspended and Withdrawn Firms report lists all firms that have been expelled from NFA membership or that have withdrawn from NFA Membership in the one hundred eighty days prior to the date the report is run. This report displays all firms that are currently suspended from NFA Membership, regardless of when the suspension became effective.

The Current and Prior Principal List displays all the principals that are currently affiliated with a firm or have ever been affiliated with a firm.

The Annual Due Date Information report lists the annual due date of the firm, any subsidiaries (that have been reported to NFA as a subsidiary) and any IBs that are guaranteed by their firm.

The Disciplined Firms List report is a list of Disciplined Firms that have been permanently barred from the industry due to the resolution of formal charges of the use of deceptive telemarketing practices or promotional material and is a list of Member Firms that have been sanctioned in the preceding five years in any way short of a permanent bar from the industry due to the resolution of formal charges of the use of deceptive telemarketing practices or promotional material. Firms that have been so sanctioned within the preceding five years are deemed to be Disciplined Firms for purposes of determining whether individuals who were sponsored by such firms are currently counted as having worked at a Disciplined Firm.


Search for an NFA ID

The Search for an NFA ID screen allows you to conduct searches for NFA IDs of individuals, firms, holding companies, sole proprietors or commodity pools. For more tips on searching for NFA IDs click here to review the Search For An NFA ID tutorial.


View Registration Information

View Registration Information menu enables users to view registration data for firms and individuals. There are some screens, mostly in the Personal Profile, Firm Profile, Internal Processing and HardCopies sections, where a user may only view the information pertaining to the user's firm or associates. If the user tries to view information that does not pertain to the user's firm or associates the message "Unauthorized to access NFA ID" will display. Listed below is a brief description of the different sections on the View Registration Information Menu:

Registration and Membership allows users to access the following information:

  • Current Registration Status — To find the current registration status of a firm or any associated person, branch office manager, floor broker, floor trader or principal
  • Registration History — To find the current or prior registration status of a firm or any associated person, branch office manager, floor broker, floor trader or principal
  • Title and Financial Interest — To find the title and financial interest of any principal of a firm
  • Proficiency Requirements Satisfied — To find whether an individual has satisfied the applicable proficiency requirements
  • Exchange Trading Privileges — To find current & prior statuses of trading privileges on an exchange for a floor broker or a floor trader 

Fitness Information allows users to view firm or individual responses to the disciplinary information questions by clicking on the Disciplinary Information link. Only yes answers are displayed. Also, users can click on the List of Disciplinary Information Questions to view the most recent wording of the disciplinary questions.

Personal Profile allows users to access the listed information about any of their firm's associated persons, branch office managers or principals.

Firm Profile allows firm users to view summary information about the firm which will enable the firm to periodically reconcile firm employee and operational records with the registration status of these people.

Business Locations allows users to view business addresses of firms and individuals.

Internal Processing — enables the firm to manage and monitor its registration activity:

  • Outstanding Requirements — Displays all additional filings and additional requirements that are still needed before registration and/or membership can be granted.
  • Application Withdrawal Date — Displays all of the applicants of the firm that have additional filings and the date they will be withdrawn if the additional filings are not submitted. If all of the additional filings are not submitted by the withdrawal date, the application will be withdrawn.
  • TLs Due to Withdraw — Displays all of the firm's associated person(s) that have a TL and also have not submitted a fingerprint card or application fee or proof of proficiency or the applicant has not verified his/her application. If the deficienc(ies) are not submitted by the TL withdrawal date, which also displays on the screen, the associated person's TL will be withdrawn and the associated person status will be set to pending and the individual must cease all activities that require registration.
  • Notices — Details all notices informing the firm of changes in registration status such as TLs granted, full registrations granted, withdrawals, etc.

Hardcopies allows users to view and/or print hardcopies of any registration filing they made and any registration filing made for its associated persons, branch office managers and principals.


Security

The Security menu is only available to security managers of a firm and it allows security managers to establish and administer all security levels for other ORS users. Listed below is a brief description of the links that are available on the Security menu:

  • The Display Users link will enable the security manager to do the following:
    • View all of the firm's current users
    • Change a user's security level
    • Edit information for current users
    • Delete a user's access to ORS, EasyFile or Disclosure Document System
    • Reset any user's password
  • The Add Firm User link will enable the security manager to add individuals as ORS, EasyFile and/or Disclosure Document System users. A firm user is someone from the firm who will act as another security manager or view, update, or file information on behalf of the firm.
  • The Add Application User is for rare circumstances. Contact NFA to create an application user.
  • The NFA E-mail Notification Service will enable the security manager to designate recipient(s) to receive E-mail notifications when registration related events occur and specify which types of notifications each should receive.

For detailed information on the duties and functions of being a security manager, click here to review the Security Manager Functions tutorial.


Payment Request/Accounting Information

The Payment Request/Accounting Information menu provides users with more efficient ways to track and view invoices and payments. Listed below is a brief description of the links that are available on the Payment Request/Accounting Information menu:

  • The Online Payment Request link allows security managers the option to remit funds online to fund their firm's prepaid account to pay registration related fees. In addition, ORS users can view a history of all payments that were made using the Online Payment Request screen.
  • The Credit Memorandum link details all financial activity attributable to the firm's registration processing, including charges for firm application fees, late terminations, annual registration records maintenance fees as well as reflecting any payments the firm has made. All accounting information is current as of the prior evening.
  • The Statement of Open Invoices link details all invoices that have not yet been paid by the firm.

ORS News - Current

The ORS News screen offer tips and advice on using ORS and provides other general ORS information. There are two left hand navigation links that allow ORS users to view current news articles and archived news articles.


Help

The Help menu contains FAQs, Information about Registration, an ORS Tutorial, and also the Instructions and Definitions relating to the Disciplinary Information Questions on forms 7-R and 8-R.

Online Registration System

 

Login to ORS

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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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