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Communication
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What types of communication will there be to keep me informed about the status of my application?
All communication about an application will be between NFA and the firm, floor broker or floor trader applicant or the firm who submitted the application on behalf of an individual applicant or principal. Electronic notices will replace most of the current routine letters from NFA to sponsors, applicants and registrants. These notices will appear in a list on a web page that the firm, floor broker or floor trader can access. Some messages will provide the notices required by the rules, such as when a TL or registration is granted or when a TL has been withdrawn. Other messages will inform the firms, FBs and FTs of filings they may need to make, such as re-submission of smudged fingerprint cards. NFA will, however, continue to send letters to request disclosure of disciplinary matters that come to NFA's attention and submission of documents related to disciplinary matters. In addition, firms, FBs and FTs will have access to a web page called Outstanding Requirements that shows any additional filings they need to make for themselves or the firms' APs and principals and any matters that must be resolved in order for registration to be granted.
If you have any other questions, contact NFA's Information Center at (800) 621-3570 or (312) 781-1410 or e-mail NFA.
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