Registration Communication FAQs
NFA uses electronic notices in its Online Registration System (ORS) to communicate with the firm, floor broker (FB) or floor trader (FT) applicant or the firm that submitted the application on behalf of an individual applicant or principal. Associated person (AP) or principal applicants should ask their sponsors for the application status.
The electronic notices are available to ORS users on the Notices page under the View Registration Information or Update/Withdraw Registration Information menu links on the NFA Dashboard—the entryway to ORS. ORS users can also access the Outstanding Registration Filings section of the NFA Dashboard to review any additional filings they need to make for themselves or the firms' APs and principals, and any matters that must be resolved in order for registration to be granted.
In addition, NFA provides ORS users with an option to receive automatic email notifications when registration-related events occur in ORS. Security Managers can designate recipients to receive email notifications and specify which types of notifications each should receive. The system does not limit the number of individuals designated as recipients of the email notifications.