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Update Disciplinary History

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 9: UPDATE DISCIPLINARY HISTORY

Update Withdraw/Registration

A common reason to update registration information occurs when an individual or firm has been the subject of some sort of disciplinary action. These updates start from the Update/Withdraw Registration menu by clicking the Disciplinary Information link under Fitness Information.

Please note that CFTC, NFA or futures exchange disciplinary actions do not need to be disclosed through updates because these entities enter all of their disciplinary actions into BASIC. All other actions, including those initiated by the SEC, FINRA and the various securities exchanges must be disclosed through updates.


Disciplinary Information

After clicking the Disciplinary Information link, this page will display. From here the user must chose the type of disciplinary information to update. In this case, Regulatory Disclosures was chosen. Please note that the disciplinary information questions in ORS have changed from the previous Form 7-R and 8-R. If this is an initial update to these questions in ORS, all of the disciplinary questions must be answered even if the individual only needed to update one question. If that had been true in this example, the user would be taken to the Criminal disclosures page even though the Regulatory Disclosure page was selected. For subsequent updates, the user will be able to select the applicable tab and only update the section that is applicable.


Disciplinary Information - Criminal Questions

Enter the NFA ID number of the individual or firm for whom you are making the update. Then answer all of the questions on the page that appears as well as provide an explanation of the matter on the Matter Disclosure page. Remember to submit all documents pertaining to the case to NFA.


Disciplinary Information - Criminal Questions

The user should check the information for accuracy and completeness before clicking the File button. The user cannot edit or delete a Matter page that was previously filed.


Disciplinary Information - Criminal Matters

Disciplinary Information - Criminal Matters

[Disciplinary Information - Criminal Matters

Once the user has filed the update, the user can create additional matters.

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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