Registration
- Who Has to Register
- Begin Enrollment Process
- Security Manager Duties (FCM, SD, MSP, RFED, CPO, CTA, IB, FTF)
- Security Manager Duties (FB, FT)
- Security Manager Password Reset
- NFA Membership and Dues
- Fingerprint Card Requirements
- Do's and Don'ts of Answering the Disciplinary Information Questions
- Proficiency Requirements
- Proficiency Exam Study Outlines
- NFA Directories
- Registration Advisories
- Obtaining Registration Records
- Registration Video Tutorials NEW
- FAQs
SEC Notice Form BD-N
Futures Commission Merchants and Introducing Brokers may "passport" into registration with the SEC. If CFTC-registered Futures Commission Merchants and Introducing Brokers limit their securities-related transactions to trading security futures products, they are eligible to file with the NFA a Notice Form BD-N for SEC registration. There is no cost associated with this filing.
To view and print the SEC Notice Form BD-N you need Adobe Acrobat Reader. If you don't have Adobe Acrobat Reader, you can download it now.
If you have questions, contact NFA's Information Center at (800) 621-3570 or (312) 781-1410 or email NFA.
Online Registration System
Electronic Filings
NFA Members can file many of their required documents electronically.
Check Broker / Firm Information (BASIC)
You can check the registration status and disciplinary history of any futures firm or individual.
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