Electronic Filing Systems
Members should use the systems listed below to meet their regulatory filings requirements. To use NFA's filing systems, firms will need to designate a security manager. To ensure Members are able to access the systems, visit the system requirements page.
- Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
- Access the Member Questionnaire, which must be completed annually as part of NFA's membership renewal process, and must be updated throughout the year to disclose material changes to the Member's business operations.
- Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
- Access EasyFile (Quarterly Reports) to file Form PQR reports for the CPO and each pool that it operates.
- Access EasyFile Extensions and Notice Filings to file regulation, market or other event notices for each of the CPO's commodity pools and cybersecurity incident notices.
- Access EasyFile (Annual Reports) to file annual financial statements for each of the CPO's commodity pools.
- Use the Electronic Disclosure Document Filing System to file a disclosure document with NFA for review.
- Use the Exemptions System to file with NFA all notices of exclusion or exemption from the CFTC's Part 4 Requirements and to complete annual affirmation of certain exemptions from CPO registration.
- Access NFA's Regulatory Filing System to submit regulatory documentation.
- Access the Promotional Material Filing System to manage or submit promotional material to NFA for review.
- Access the NFA Swaps Proficiency Requirements Administrator (SPR Admin) Form to designate an SPR Admin.
- Access NFA's Swaps Proficiency Requirements to complete the requirements.
- Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
- Access the Member Questionnaire, which must be completed annually as part of NFA's membership renewal process, and must be updated throughout the year to disclose material changes to the Member's business operations.
- Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
- Access EasyFile (CTA Filers) to file Form PR reports.
- Access EasyFile Notice Filings to file cybersecurity incident notices.
- Use the Electronic Disclosure Document Filing System to file a disclosure document with NFA for review.
- Use the Exemptions System to file with NFA all notices of exclusion or exemption from the CFTC Part 4 Requirements and to complete annual affirmation of certain exemptions from CTA registration.
- Access NFA's Regulatory Filing System to submit regulatory documentation.
- Access the Promotional Material Filing System to manage or submit promotional material to NFA for review.
- Access the NFA Swaps Proficiency Requirements Administrator (SPR Admin) Form to designate an SPR Admin.
- Access NFA's Swaps Proficiency Requirements to complete the requirements.
- Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
- Access the Member Questionnaire, which must be completed annually as part of NFA's membership renewal process, and must be updated throughout the year to disclose material changes to the Member's business operations.
- Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
- Access WinJammerTM to enter and transmit notice filings, including SLAs and other financial statements.
- Access EasyFile Notice Filings to file cybersecurity incident notices.
- Use the Anti-Money Laundering (AML) Procedures System to develop an AML procedure.
- Access NFA's Regulatory Filing System to submit regulatory documentation.
- Access the Promotional Material Filing System to manage or submit promotional material to NFA for review.
- Access the NFA Swaps Proficiency Requirements Administrator (SPR Admin) Form to designate an SPR Admin.
- Access NFA's Swaps Proficiency Requirements to complete the requirements.
- Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
- Access the Member Questionnaire, which must be completed annually as part of NFA's membership renewal process, and must be updated throughout the year to disclose material changes to the Member's business operations.
- Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
- All IBs can use EasyFile to file cybersecurity incident notices. Additionally, non broker-dealer IBs can use EasyFile to file audited and unaudited 1-FR-IB financial statements and enter and transmit notice filings, including SLAs.
- Independent IBs that are broker-dealers may access WinJammerTM to enter and transmit notice filings, including SLAs and other financial statements (FOCUS filings).
- Use the Anti-Money Laundering (AML) Procedures System to develop an AML procedure.
- Access NFA's Regulatory Filing System to submit regulatory documentation.
- Access the Promotional Material Filing System to manage or submit promotional material to NFA for review.
- Access the NFA Swaps Proficiency Requirements Administrator (SPR Admin) Form to designate an SPR Admin.
- Access NFA's Swaps Proficiency Requirements to complete the requirements.
- Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
- Access the Member Questionnaire, which must be completed annually as part of NFA's membership renewal process, and must be updated throughout the year to disclose material changes to the Member's business operations.
- Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
- Use EasyFile (Forex Filers) to report the required daily and monthly forex transaction balances, such as liabilities to customers and other financial information, to NFA.
- Access EasyFile Notice Filings to file cybersecurity incident notices.
- Access WinJammerTM to enter and transmit notice filings, including SLAs and other financial statements.
- Use the Anti-Money Laundering (AML) Procedures System to develop an AML procedure.
- Access NFA's Regulatory Filing System to submit regulatory documentation.
- Access the Promotional Material Filing System to manage or submit promotional material to NFA for review.
- Access the NFA Swaps Proficiency Requirements Administrator (SPR Admin) Form to designate an SPR Admin.
- Access NFA's Swaps Proficiency Requirements to complete the requirements.
- Access NFA's Online Registration System (ORS) to register with the CFTC and apply for NFA membership. NFA's Dashboard, the entryway to ORS, summarizes periodic filings for firms and outstanding registration filings for firms and individuals.
- Access the Member Questionnaire, which must be completed annually as part of NFA's membership renewal process, and must be updated throughout the year to disclose material changes to the Member's business operations.
- Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.
- Access WinJammerTM to file risk exposure reports, notices of swap valuation disputes, Chief Compliance Officer Annual Reports, Business Continuity and Disaster Recovery Plan contact information, financial reports and other notices, including SLAs.
- Use EasyFile AP Statutory Disqualification Form Submission to file criminal and regulatory statutory disqualification forms for its associated persons (AP).
- Access EasyFile (Risk Data Filing) to file monthly risk data reports.
- Access NFA's Regulatory Filing System to submit regulatory documentation.
- Access the EasyFile Margin Model Submission System to submit a risk-based initial margin model (margin model), manage ongoing oversight of an approved margin model, or update a previously approved margin model.
- Access EasyFile Notice Filings to file cybersecurity incident notices.
- Access the NFA Swaps Proficiency Requirements Administrator (SPR Admin) Form to designate an SPR Admin.
- Access NFA's Swaps Proficiency Requirements to complete the requirements.
- Access the EasyFile Capital Model Submission System to submit information relating to market risk and credit risk capital model questionnaires, model approval and ongoing oversight, as well as to update previously submitted information.
- Use BASIC Case Entry (BASICDE) to maintain firm and individual records in NFA's BASIC system.
- Designate an Executive Representative Contact, who has the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards, and provide voting instructions and cast votes on behalf of the Member.