Get to Know the Regulators: NFA’s Registration Department

As a NIBA member, you are already familiar with the process of applying for CFTC registration and NFA membership. But you may not be familiar with the diverse array of responsibilities relegated to NFA’s registration department. The Registration department reviews applications for CFTC registration and NFA membership, and approves or denies those applications based in part on results of background checks and proof of passing appropriate qualification examinations. In addition to staffing the Information Center, which we highlighted last time and you can find here, the department is responsible for maintaining NFA’s Online Registration System, reviewing all disciplinary information and…

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