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Registration Advisory - Enforcement/Compliance Contact Information Requirement

July 13, 2006

In response to a request from the CFTC, NFA has modified its Online Registration System (ORS) to require each firm applying for registration or currently registered to provide information for an Enforcement/Compliance Contact (ECC), including an e-mail address.

NFA has created a new Enforcement/Compliance Contact Information screen in the ORS firm application. Every registered firm must provide the contact person's name, street address, city, state, telephone number and e-mail address. A firm may have more than one ECC, but the required information for each must be provided.

NFA has created ECC screens for firms who have previously supplied NFA's Compliance Department with e-mail addresses. Although the ECC screens that NFA has created contain these e-mail addresses, each firm must access the screen, verify that the address is correct and complete the required contact information fields. Firms should also delete any e-mail addresses that may no longer be correct or valid.

Individuals who would like additional information regarding the new requirement should contact NFA's Information Center by phone at 800-621-3570 (if calling internationally, call 312-781-1410) or by e-mail at information@nfa.futures.org.

Please note that the Enforcement/Compliance Contact information must be entered into ORS promptly in order to be in compliance with the new CFTC requirement.

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