Site Index

• About NFA
• Annual Reviews
• Board of Directors
• Committees
• Contáctenos
• Contact Us
• International Outreach Programs
• NFA Leadership
• Who We Are
• Arbitration and Mediation
• An Online Learning Program for NFA Arbitrators
• Arbitration and Mediation
• Arbitration Statistics
• Arbitrator Profile
• Arbitrators
• Arbitrator Training
• Arbitrator Update
• Contact Us
• Customers
• Mediation
• Mediation Services
• Members
• Publication Library
• What to Expect During a Pre-Hearing Conference Call
• Your Role as an NFA Arbitration Chairperson
• BASIC
• BASIC Home/Search
• Contributors
• FAQ
• Feedback
• File a Complaint
• General Search Tips
• Glossary
• Help
• Privacy Statement
• Terms of Use
• Careers at NFA
• Campus Visits
• Careers at NFA
• Compensation and Benefits
• Contact Us
• Current Opportunities
• FAQs
• Compliance
• Commodity Pool Operators (CPOs)
• Commodity Trading Advisors (CTAs)
• Compliance
• Contact Us
• Education and Training
• Futures Commission Merchants (FCMs) and Retail Foreign Exchange Dealers (RFEDs)
• General Compliance Issues
• Introducing Brokers (IBs)
• Joint Audit Committee
• Publication Library
• Swap Dealers (SDs) and Major Swap Participants (MSPs)
• Electronic Filings
• AML Procedures System
• Annual Questionnaire
• BASIC Case Entry (BASICDE)
• Complaints
• EasyFile (1-FR-IB Filers)
• EasyFile (CTA Filers)
• EasyFile (FOREX Filers)
• EasyFile (Pool Filers)
• EasyFile AP Statutory Disqualification Form Submission
• EasyFile Registration Documentation Submission System (RDSS)
• EasyFile Support
• Electronic Disclosure Document Filing System
• Electronic Filings
• Exemptions
• Online Registration System (ORS)
• Segregated Investment Detail Report Amendments
• WinJammer™ Online Filing System
• WinJammer Support
• FAQs
• Arbitration and Mediation
• Compliance
• FAQs
• Investor Information
• NFA Assessment Fees
• Registration
• Regulation
• Search FAQs
• Industry Links
• Industry Links
• Investor Information
• Additional Resources
• Education and Training
• FCM Financial Information
• Investor Alerts
• Investor Best Practices
• Investor Information
• Investor Newsletter
• MF Global Information
• PFG Information
• Protect Your Identity
• Publication Library
• Market Regulation
• Market Regulation
• News Releases
• New Member Orientation
• Additional CPO and CTA Requirements
• Additional FCM, RFED and IB Requirements
• General Information
• General Requirements
• New Member Orientation
• The Audit Process
• News Center
• Berkeley Research Group Review
• CFTC Rule Submissions
• Comment Letters
• Email Subscriptions
• Enforcement and Registration Actions
• List of Member Newsletters
• Media Contacts
• Member Newsletter
• News Releases
• Notices to Members
• Petitions for Rulemaking
• RSS Feeds
• Search News Center
• SEC Rule Filings
• Speeches and Testimony
• What's New
• NFA Manual
• Articles of Incorporation
• Bylaws
• Code of Arbitration
• Compliance Rules
• Financial Requirements
• Interpretive Notices
• Manual Table of Contents
• Member Arbitration Rules
• NFA's Functions Explained
• Recent Updates
• Registration Rules
• Search NFA Manual
• View Entire Manual
• Registration
• Associated Person (AP)
• Available Payment Options
• Begin Enrollment Process
• Commodity Pool Operator (CPO)
• Commodity Trading Advisor (CTA)
• Exempt Foreign Firm Notices
• Fees for Public Records
• Fingerprint Card Requirements
• Floor Broker (FB)
• Floor Trader (FT)
• Futures Commission Merchant (FCM)
• Introducing Broker (IB)
• NFA Directories
• NFA Membership and Dues
• Notice Registered Futures Commission Merchant and Introducing Broker
• Obtaining Registration Records
• Online Registration System Overview
• Online Registration System Tutorial
• Online Registration System User Guide
• Principal
• Proficiency Exam Study Outlines
• Proficiency Requirements
• Public Document Request Form
• Registration Advisories / Notices
• Registration Overview for Retail Foreign Exchange Dealers and Forex IB, CTA and CPO Applicants
• Retail Foreign Exchange Dealer (RFED)
• Security Manager Duties (FB, FT)
• Security Manager Duties (FCM, SD, MSP, RFED, CPO, CTA, IB, FTF)
• Security Manager Password Reset
• Swap Dealer (SD) and Major Swap Participant (MSP)
• Templates and Forms
• Videos
• Who Has to Register
• Regulation
• CFTC Rule Submissions
• Comment Letters
• Enforcement and Registration Actions
• Index of Interpretive Notices
• News Releases
• Notices to Members
• Petitions for Rulemaking
• Regulation
• SEC Rule Filings
• Swaps Information
• Regulatory Information for Swap Dealers (SDs) and Major Swap Participants (MSPs)
• Regulatory Information for Swap Intermediaries
• Swaps Information
• Video Library
• Video Library