Electronic Filing Systems

Members should use the systems listed below to meet their regulatory filings requirements. To use NFA's electronic filing systems, firms will need to designate a security manager. To ensure Members are able to access the systems, visit the system requirements page.

  • Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership electronically. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
  • Access the Annual Questionnaire, which must be completed annually as part of NFA's membership renewal process.
  • Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
  • Access EasyFile (CTA Filers) to electronically file Form PR reports.
  • Use the Electronic Disclosure Document Filing System to file a disclosure document with NFA for review.
  • Use the Exemptions System to electronically file with NFA all notices of exclusion or exemption from the Commodity Futures Trading Commission's (CFTC) Part 4 requirements and to complete annual affirmation of certain exemptions from CTA registration.
  • Access NFA's Regulatory Filing System to submit regulatory documentation.
  • Access the Promotional Material Filing System to manage or submit promotional material to NFA for review.
  • Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership electronically. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
  • Access the Annual Questionnaire, which must be completed annually as part of NFA's membership renewal process.
  • Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
  • Non broker-dealer IBs can use EasyFile to file audited and unaudited 1-FR-IB financial statements and enter and transmit notice filings.
  • Independent IBs that are broker-dealers may access WinJammer to enter and transmit notice filings and other financial statements (FOCUS filings).
  • Use the Anti-Money Laundering (AML) Procedures System to develop an AML procedure.
  • Access NFA's Regulatory Filing System to submit regulatory documentation.
  • Access the Promotional Material Filing System to manage or submit promotional material to NFA for review.
  • Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership electronically. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
  • Access the Annual Questionnaire, which must be completed annually as part of NFA's membership renewal process.
  • Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
  • Use EasyFile (RDSS) to electronically file documentation required to demonstrate compliance with Section 4s Implementing Regulations.
  • Access WinJammer to file risk exposure reports, notices of swap valuation disputes, Chief Compliance Officer Annual Reports and Business Continuity and Disaster Recovery Plan contact information.
  • Use EasyFile AP Statutory Disqualification Form Submission to electronically file criminal and regulatory statutory disqualification forms for its associated persons (AP).
  • Access EasyFile (Risk Data Filing) to file monthly risk data reports.
  • Access NFA's Regulatory Filing System to submit regulatory documentation.
  • Access the EasyFile Margin Model Submission System to submit a risk-based initial margin model (margin model), manage ongoing oversight of an approved margin model, or update a previously approved margin model.
  • Use BASIC Case Entry (BASICDE) to maintain firm and individual records in NFA's BASIC system.
  • Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.