Obtaining Registration Records

Except in certain limited circumstances, pursuant to the CFTC's Records Retention Schedule, NFA destroys all registration records of individuals who have not been registered for 10 or more years. Therefore, if the request for registration records involves a person who has not been registered for 10 or more years from the date of the request, it is unlikely that NFA will have any records responsive to the request.

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.

Public Records

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.

Non-Public Records

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.

Other Requests