Registration Education & Resources



Type Title Date Topic Category Summary
Online Registration System User Guide 2016 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manager functions, apply for registration and provides a checklist of things to do to prevent applications from being withdrawn.
The Registration Process: Getting Started: The Enrollment Process 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 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 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 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 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 2015 MSP, SD This video (17 min. 30 sec.) demonstrates the process of filing a registration application for a principal of a swap dealer.
The Registration Process: Filing an Individual Application 2015 FCM, FDM, CTA, IB, CPO This video (20 min.) demonstrates the process of filing an individual registration application for CFTC registration and membership with NFA.
Registration Issues: Principals, APs and Branch Offices 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.