Any individual applying to register as an associated person, floor broker, floor trader, or floor trader order enterer, or is applying to be listed as a principal must send a completed fingerprint card to NFA unless:
Firms may email any notice or certification to NFA (Non-USPrincipalPrintCardAlternative@nfa.futures.org).
Digital images of fingerprints are sent by NFA to the FBI to determine if the applicant has a criminal record. Results are received in three days or less, and in some cases within several hours, resulting in a faster registration process.
To conduct a check of its records, the FBI must be able to analyze the print pattern of all 10 fingers. The FBI will reject fingerprint cards that do not have legible patterns for all 10 fingers. For this reason, it is very important that you have your fingerprints taken by a person properly trained in rolling fingerprints.
NFA can only accept and process a completed and signed FBI applicant card. Applicants are encouraged to submit three fingerprint cards with their application to avoid delays in obtaining additional sets if necessary for processing.
NFA will return to the applicant fingerprint cards that are incomplete or are not applicant cards and will request new fingerprint cards.
Completed fingerprint cards should be sent to NFA at the following address:
National Futures Association
Attention: Registration Department
300 S. Riverside Plaza, Suite 1800
Chicago, IL 60606-6615
NFA offers a fingerprinting service for NFA applicants at the Chicago office (300 South Riverside Plaza, Suite 1800) between the hours of 8:30 a.m. and 4:00 p.m. for $15 (cash, check or money order). All individuals being fingerprinted will be required to present two forms of identification, one of which is a valid picture ID issued by a government agency, in order to verify the identity of the person being fingerprinted.
In order to use NFA's fingerprinting service, visitors must be pre-registered in the building's visitor registry. Visitors should contact NFA's Information Center (312-781-1410 or 800-621-3570 or firstname.lastname@example.org) to register. Visitors must provide their name and date of visit so they can receive access to NFA's offices on the 18th floor. NFA recommends that visitors pre-register at least one day prior to their visit.
NFA has issued a Registration Advisory that provides guidance concerning fingerprinting to assist those who submit applications via the Online Registration System. If you have any questions regarding the fingerprint card process, please contact NFA's Information Center.
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.