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Registration Video Tutorials

NFA provides a series of educational videos to help applicants and Members with the registration process.

Important Viewing Notes 

Access: Some firms have firewalls that are not configured to allow audio/video from the Internet. Please check with your IT department to resolve this issue. 

Required Software: Accessing the video requires Adobe Flash Player. Please ensure you have the latest version installed.

Download Adobe Flash Player

Note: Flash Player does not currently run and cannot be installed on certain 64-bit browsers, including Windows 7 Internet Explorer (64 bit). To view the videos or install Flash, please switch to a 32-bit browser. You can contact your IT department or follow these instructions on how to run or install Flash Player on 64-bit operating systems.

Required Hardware: Your computer must have a sound card and speakers (internal or external) in order to hear the videos.

 

February 13, 2013

Submitting an AP Statutory Disqualification Form through EasyFile

13 min. 1 sec.

This video demonstrates the process of filing criminal and regulatory statutory disqualification forms for associated persons of swap dealers and major swap participants through NFA's EasyFile system.


 

December 21, 2012 (Updated March 8, 2013)

The Registration Process: The 4s Document Submission Process for Swap Dealers and Major Swap Participants

14 min. 14 sec.

This video demonstrates the 4s document submission process.


 

February 24, 2012

The Registration Process: Filing an Application for a Principal of a Swap Dealer or a Major Swap Participant

17 min. 29 sec.

This video demonstrates the process of filing a registration application for a principal of a swap dealer or a major swap participant.


 

January 19, 2012 (Updated August 8, 2012)

The Registration Process: Filing a Firm Application for Swap Dealers and Major Swap Participants

15 min. 52 sec.

This video demonstrates the process of filing a swap dealer and major swap participant registration application for CFTC registration and membership with NFA.


 

September 30, 2010 (Updated December 6, 2013)

The Registration Process: Filing a Firm Application

17 min. 29 sec.

This video demonstrates the process of filing a firm registration application for CFTC registration and membership with NFA.


 

September 20, 2010

The Registration Process: Proficiency Requirements

5 min. 50 sec.

This video discusses the proficiency requirements that individuals applying for NFA membership as a sole proprietor FCM, RFED, IB, CPO, CTA or for registration as an AP of these categories must satisfy.


 

September 20, 2010 (Updated January 19, 2012)

The Registration Process: Getting Started: The Enrollment Process

8 min. 9 sec.

This video discusses the enrollment process which must be completed before an individual or firm can gain access to NFA's Online Registration System (ORS).


 

September 20, 2010 (Updated February 4, 2012)

The Registration Process: Filing an Individual Application

20 min.

This video demonstrates the process of filing an individual registration application for CFTC registration and membership with NFA.


Please note: NFA's videos are the sole property of NFA and the information provided is for informational and educational purposes only. The content of these video does not constitute any NFA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under NFA rules, the rules of any other SRO, or futures laws. This video is provided "as is". NFA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce these videos in any form, nor reference them in any publication, without the express written consent of NFA.

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