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Notice I-15-14

May 13, 2015

Regulatory reminder: Accurate and current business contact information and email address

When a firm first applies for registration, the applicant must provide the address of its main office location, its telephone number, and may provide a general email address. The applicant must also list the names, addresses and telephone numbers of the individuals whom the applicant designates as the firm's contacts for a variety of functions such as compliance, membership and enforcement. Email addresses are required for enforcement contacts and may be added for other contacts as well.

On an annual basis, all registered firms must review the information in their registration records contained in NFA's Online Registration System (ORS), update any outdated or incorrect information and certify that all of the information is complete and accurate. Beyond the formal annual registration review process, registered firms have an obligation to continually update the information in their registration records to keep it complete and accurate.

NFA reminds all registered firms to ensure that the addresses, telephone numbers and email addresses for their offices and individual contacts reflected in their registration records contained in ORS are current and accurate.

If you have any questions regarding this reminder or registration requirements generally, please contact NFA's Information Center at (800) 621-3570 or (312) 781-1410 (information@nfa.futures.org).

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