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Obtaining Registration Records

Firms, floor brokers and floor traders with a current status can obtain copies of their registration records or filings by accessing the Filing History page under the Hardcopy section on the View Registration Information tab in ORS. In addition, as custodian of registration records, NFA grants access to and can certify historical registration records, as well as any new records that NFA receives, generates or compiles in the performance of its registration functions. NFA can also provide copies of CFTC records, other than Registration records, that are received and maintained by NFA as authorized or required by the CFTC.

The records that are publicly available directly from NFA include application forms, changes and corrections to applications, notices of termination or withdrawal and certain correspondence relating to a firm or individuals registration or exemption from registration. You can request publicly available records by completing the Public Document Request Form. Fees are charged for copies of any publicly available records.

Non-public documents include fingerprint cards; any supplementary attachments filed in response to certain items on application, termination or withdrawal forms; and disclosure documents filed with NFA since November 1, 1997. You may request non-public and public records by completing the Non-Public Document Request Form.

NFA Registration Rule 701(c) describes the only conditions under which NFA can release non-public records. If you are an NFA Member and you want information about current or prospective Associated Persons or Principals, you can complete and return the Prospective Employer Verification Form. You also can receive information about current or prospective Guaranteed Introducing Brokers by submitting the Guaranteed Introducing Broker Verification Form.

If you want to conduct a background check on a firm or individual involved in the futures business, the online Background Affiliation Status Information Center (BASIC) is where you should begin. NFA, the CFTC and the U.S. futures exchanges supply BASIC with information about CFTC registration, NFA membership, futures-related disciplinary history and non-disciplinary activities, such as CFTC reparations and NFA arbitration. If you need registration information that's not available in BASIC, you can request it by following the instructions provided above or you can contact NFA's Information Center at (800) 621-3570 or (312) 781-1410.

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Electronic Filings

NFA Members can file many of their required documents electronically.

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Check Broker / Firm Information (BASIC)

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

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