Floor Broker (FB) Registration

A floor broker (FB) is an individual who purchases or sells any futures contracts, options on futures or swaps on any contract market for any other person.

A registered FB need not also register as a floor trader (FT) in order to engage in activity as a floor trader.

Registration Requirements for FBs

An FB is required to file the following:

  • Add yourself as the Security Manager in order to obtain secure access to NFA's Online Registration System (ORS)
  • Complete online Form 8-R
  • Submit fingerprint cards
  • Submit proof from a contract market or swap execution facility (SEF) that you have been granted trading privileges. The contract market or SEF may provide proof in ORS after the application has been filed.
  • Pay non-refundable application fee of $85. (An application fee is not required if you are currently registered with the CFTC in any capacity or is listed as a principal of a current CFTC registrant.)

Access NFA's Online Registration System

Accessthe ORS

Request Access to NFA's Online Registration System

Request Accessfor online registration system