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NFA Manual / Rules

Welcome to the online version of NFA's rulebook, the NFA Manual. We update this version on an ongoing basis. If you want to check out what changes have most recently been made to the NFA Manual, go to Recent Manual Updates.

Registration Rules

[Adopted effective April 4, 1988. Effective dates of amendments: September 21, 1993; May 31, 2002; July 21, 2003; and July 18, 2012.]

(a) If registration has been granted or a temporary license issued under the Act, NFA shall notify the applicant, or the sponsor in the case of an applicant for registration as an AP, and each board of trade designated as a contact market by the Commission that has granted the applicant trading privileges in the case of an applicant for registration as an FB or FT. If an exemption from registration pursuant to CFTC Regulation 30.5 has been confirmed, NFA shall notify the applicant accordingly.

(b) NFA may provide any notice required by these Rules electronically unless written notice is specifically required. Notices provided electronically shall be complete upon display in NFA's Online Registration System. Notices provided in writing shall be complete upon mailing.

(c) Any registration form, schedule or supplement thereto, fingerprint card, or other document required by these Rules to be filed with NFA, whether electronically or in hardcopy format, shall be deemed for all purposes to have been filed with, and to be the official record of, the Commission. Part 700 of these Rules governs access to and certification of all such registration records maintained by NFA.

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