Obtaining Registration Records
Firms, floor brokers, and floor traders can obtain copies of their registration records and filings using NFA's Online Registration System (ORS).
To access your firm's registration records or filings:
- Log into ORS.
- Click the View Registration Information tab.
- Go to the Hardcopy section.
- Click Filing History.
In addition, NFA grants access to and can certify historical registration records, as well as any new records that NFA receives. NFA can also provide copies of other CFTC records that NFA receives and maintains as authorized or required by the CFTC.
Records that are publicly available directly from NFA include:
- Application forms;
- Changes and corrections to applications;
- Notices of termination or withdrawal; and
- Certain correspondence relating to a firm or individual's registration or exemption from registration.
NFA can only release non-public records under the conditions described in Registration Rule 701(c). Non-public records include:
- Fingerprint cards;
- Any supplementary attachments filed in response to certain items on application termination or withdrawal forms; and
- Disclosure documents filed with NFA since November 1, 1997.
- If you are an NFA Member and want information about current or prospective associated persons or principals, complete and submit the Prospective Employer Verification Form.
- If you are an NFA Member and want information about current or prospective guaranteed introducing brokers, complete and submit the Guaranteed Introducing Broker Verification Form.