To gain access to ORS, firms, including Sole Proprietors, Floor Brokers and Floor Traders, will need to establish a security account with NFA and designate a Security Manager. Floor Brokers and Floor Traders may not designate anyone except themselves as the Security Manager. To designate a Security Manager complete an enrollment form.
The enrollment form should be used to establish a security account with NFA and should not be used to:
The enrollment form requests personal information about the individual that has been designated as a Security Manager and should be filled out and submitted only by the Security Manager. After the form has been completed and submitted to NFA the screen will return with a temporary password.
NFA will notify the Security Manager by letter when it approves his/her enrollment request and will provide a User Name for the Security Manager to use along with the temporary password to log into ORS. The first time the Security Manager logs into ORS he/she will be prompted to change his/her password.
If a Security Manager is locked out of ORS or has forgotten his or her password do not file another enrollment form. The Security Manager may reset their own password online by clicking here to use the Security Manager Password Reset Process.
If you would like to file a Part 4 Exemption, click here.
Contact your firm's existing Security Manager if you want to reset your password, add an additional Security Manager or update or replace an existing Security Manager.
If the only Security Manager is unavailable or has left the firm do not file another enrollment form. Fax a letter signed by a listed principal to NFA at (312) 559-3537 naming the new Security Manager. NFA will contact the new Security Manager to assist him/her through the process of accessing ORS.
NFA provides a series of educational videos to help applicants and Members with the registration process: Registration Video Tutorials.
NFA's Information Center is available Monday through Friday from 8:00 a.m. to 5:00 p.m. CST to answer your registration and ORS questions. Call (312) 781-1410 or toll-free at (800) 621-3570. You may also email inquiries to email@example.com.
NFA Members can file many of their required documents electronically.
You can check the registration status and disciplinary history of any derivatives firm or individual.