Registration Education & Resources



Type Title Date Category Summary
ORS Application Process: Firms September 15, 2017 SD, FCM, MSP, CPO, IB, CTA This guide will enable you to efficiently manage and monitor your registration process in NFA’s Online Registration System (ORS). NFA’s entryway to ORS, the NFA Dashboard, provides quick links to ORS and summarizes all outstanding filing requirements.
ORS Application Process: Floor Brokers/Floor Traders September 15, 2017 MSP, FCM, FDM, CTA, IB, CPO, SD This guide will enable you to efficiently manage and monitor the registration process in NFA’s Online Registration System (ORS). NFA’s entryway to ORS, the NFA Dashboard, provides quick links to ORS and summarizes all outstanding filing requirements.
Online Registration System User Guide September 15, 2017 MSP, SD, FDM, IB, FCM, CTA, CPO The Online Registration System (ORS) User Guide enables firms and other users to efficiently manage and monitor their registration process within ORS. This guide provides step by step instructions that will help users utilize the security manager functions, apply for registration and provides a checklist of things to do to prevent applications from being withdrawn.
Individual Application Webinar for ORS September 15, 2017 MSP, CTA, SD, FDM, FCM, IB, CPO In September 2017, NFA launched an updated individual application process in its Online Registration System (ORS) as the second deliverable of a multi-year, multi-phase rebuild of the system. View the archived webinar.
The Registration Process: Getting Started: The Enrollment Process February 26, 2016 IB, CPO, FDM, CTA, FCM, MSP, SD This video (8 min. 9 sec.) discusses the enrollment process which must be completed before an individual or firm can gain access to NFA's Online Registration System (ORS).
The Registration Process: Proficiency Requirements February 26, 2016 FDM, IB, CPO, FCM, CTA This video (5 min. 15 sec.) discusses the proficiency requirements that individuals applying for NFA membership as a sole proprietor FCM, RFED, IB, CPO, CTA or for registration as an AP of these categories must satisfy.
The Registration Process: Filing a Firm Application for Swap Dealers February 26, 2016 SD, MSP This video (16 min. 21 sec.) demonstrates the process of filing a swap dealer and major swap participant registration application for CFTC registration and membership with NFA.
The Registration Process: Filing a Firm Application February 26, 2016 MSP, IB, CTA, SD, FDM, CPO, FCM This video (17 min. 37 sec.) demonstrates the process of filing a firm registration application for CFTC registration and membership with NFA.
Submitting an AP Statutory Disqualification Form through EasyFile February 26, 2016 MSP, SD This video (13 min. 5 sec.) demonstrates the process of filing criminal and regulatory statutory disqualification forms for associated persons of swap dealers and major swap participants through NFA's EasyFile system.
The Registration Process: Filing an Application for a Principal of a Swap Dealer June 22, 2015 MSP, SD This video (17 min. 30 sec.) demonstrates the process of filing a registration application for a principal of a swap dealer.
Registration Issues: Principals, APs and Branch Offices June 29, 2009 This podcast (10 min. 15 sec.) provides detailed explanation of who needs to listed as a principal, who needs to be registered as an Associated Person, and when it's appropriate to list a branch office and a branch office manager.