How are firm, associated person and principal applications for registration filed?
Firms must electronically file their applications (Form 7-R) and the applications for their Associated Persons and principals (Form 8-R) using ORS. These electronic applications are also referred to as “paths” in ORS. NFA no longer accepts any hard copy applications except applications for registration as an agricultural trade option merchant (ATM CFTC Form 7-R) and their affiliated individuals (ATM CFTC Form 8-R); Notice Form 7-R for Broker-Dealers that are eligible for notice registration as an FCM or IB; and Notice Form BD-N for FCMs and IBs that are eligible for notice registration as Broker-Dealers. Firms may authorize anyone to file applications on their behalf. The firm authorizes persons to file applications when the firm’s Security Manager establishes the person as a “file” security level user. The Online Registration System tutorials contain detailed instructions on how to complete the application, update and withdrawal paths for most situations.
Firms must electronically file their applications (Form 7-R) and the applications for their Associated Persons and principals (Form 8-R) using ORS. NFA no longer accepts any hard copy applications except applications for registration as an agricultural trade option merchant (ATM Form 7-R) and their affiliated individuals (ATM Form 8-R); Notice Form 7-R for Broker-Dealers that are eligible for notice registration as an FCM or IB; and Notice Form BD-N for FCMs and IBs that are eligible for notice registration as Broker-Dealers. The firm authorizes an individual to file applications on the firm’s behalf when the firm’s Security Manager establishes the person as a “file” security level user. The ORS tutorials contain detailed instructions on how to complete the application, update and withdrawal paths for most situations.
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- How are firm, associated person and principal applications for registration filed?
