For each section of ORS that is displayed in this tutorial, you will see a picture of an important part of an ORS screen and corresponding text under it. If you still need assistance after viewing the tutorial, contact NFA's Information Center.

Section 2: NAVIGATION MENUS

This is the Home Page for NFA's Online Registration System (ORS). There are two main navigation systems to help users through the registration process. At the top of each ORS screen are the system navigation tabs. These allow users to select any application for which they have security in the system. For example, a user can select a tab to Search for an NFA ID Number, Apply for Registration, View Registration Information, Update/Withdraw Registration, manage security or search the Help screens. If the user is in a path, along the left hand side of each page are links to the pages that constitute the path in the section or application. The left side navigation is not active on the home page. Using the left side navigation links, the user can jump forward or backward to any page in the path that you have previously visited. In the application paths, these navigation links are built as the user progresses through the path. In an application path, a user can jump back to any page that the user had previously visited, but cannot jump ahead to other pages that have not been viewed. If the user is on a View page or an Update page, links to all the other View or Update pages will appear in the left side navigation. At the top right of ORS, there are also links to NFA's home page and BASIC. In each case, activating these links will open a second browser so users will not lose their place in ORS. Whenever this BASIC link is used, the new browser will display the BASIC Home page. The third link, Log Off, will close the user's browser, and if clicked before the user clicks Continue or File on the page, any data that the user enters will not be saved. There is another link at the upper left of the page. Clicking "Online Registration" will take the user to the ORS Home page. The ORS Home page itself contains six links that are the same as the system navigation tabs. In addition, there is a seventh link to the Assign NFA ID section. It is important to use the navigation tools within ORS such as the continue button or the left-hand navigation rather than the forward and back button on your internet browser. Clicking the continue button automatically saves any information on the current screen. On the following pages are examples of the menu choices on each of the submenus listed above.

From the Apply for Registration page, the user can either begin an application or finish an application for firms, firms seeking confirmation of exemption from registration pursuant to CFTC Rule 30.5 and individuals. Additionally, if the user's firm is currently registered in one category, the user would use the Process an Application function under the Firm heading to add additional categories as in the case of an IB that wishes to operate a pool. Similarly, adding a branch office manager status to an existing AP registration would begin here. In addition, the user can return to complete an application using the finish an incomplete application option.

Clicking the Assign an NFA ID link on the Home page will take you to the Applicant Information screen where you will assign new NFA IDs to individuals who don't already have one. Only users with the proper level of security can assign a new ID. Even if you are certain that the individual does not have an NFA ID or that you know the individual's NFA ID, you should still conduct a search to ensure that a new ID is not assigned to an individual who already has one. There is a link to the Name Search page on this screen.

Except for adding a registration category, which takes place on the Apply for Registration Menu page, all updates to registration information and all withdrawal requests or notices are launched from the Update/Withdraw Registration menu.. This page begins the processes formerly performed by the paper Forms 3-R, 7-W and 8-T/U-5. The Withdrawal section enables firms to either complete a withdrawal request or notice that is currently in process or to begin a new withdrawal process. The Internal Processing section enables the firm to manage and monitor its registration activity.

See the NFA ID Search section of the tutorial for instructions.

For most of the screens on the View Registration Information menu, Firm users can view registration information applicable to firms and its associates. However, there are some screens, mostly in the Personal Profile, Firm Profile and Internal Processing sections, where a user may only view the information pertaining to the user's firm or associates. Registration and Membership includes links to pages containing information for any firm or individual. Current Registration Status-To find the current registration status of a firm or any associated person, branch office manager, floor broker, floor trader or principal Registration History-To find the prior registration status of a firm or any associated person, branch office manager, floor broker, floor trader or principal Title and Financial Interest-To find the title and financial interest of any principal of a firm Proficiency Requirements Satisfied-To find whether an individual has satisfied the applicable proficiency requirements Exchange Trading Privileges-To find whether a particular floor broker or floor trader has trading privileges on an exchange Personal Profile allows users to access the listed information about any of their firm's individual associated persons, branch office managers or principals. Business Locations allows users to view business addresses of firms and individuals. Hardcopies allows users to view and/or print hardcopies of any registration filing they made and any registration filing made for its associated persons, branch office managers, and principals. Disciplinary Information allows users to view firm or individual responses to the disciplinary information questions. Only yes answers are displayed. Firm Profile allows firm users to view summary information about the firm which will enable the firm to periodically reconcile firm employee and operational records with the registration status of these people. Users will only be able to view the Employee List, Associated Person List or Branch Office Manager List of its firm. Internal Processing – enables the firm to manage and monitor its registration activity. Notices-Details all notices informing the firm of changes in registration status such as T/Ls granted, full registrations granted, withdrawals, etc. Credit Memorandum-Details all financial activity attributable to the firm's registration processing, including charges for application fees, late terminations, annual registration records maintenance fees as well as reflecting any payments the firm has made. All accounting information is current as of the prior evening. Application Withdrawal Date-Displays all applications and the date they will be withdrawn if the filing deficiencies are not satisfied. Outstanding Requirements-Displays all items still needed for an individual or firm applicant to become registered. This will enable firms to make ensure that the required information is being submitted promptly. T/Ls Due to Withdraw-Once a T/L is granted, a firm has 20 days to submit fees and fingerprint cards for AP applicants and, if applicable, for NFA to receive proof of proficiency from the NASD or the T/L will be withdrawn. This screen enables firms to monitor this information to ensure that it is submitted timely. Statement of Open Invoices

The Security section is for security managers only.

This screen shows the left-hand side navigation for moving about within a path. With the left side navigation, users can jump back and forth anywhere in the path that they need to go. As stated above, the links are built as users move through the path so they can jump back to any page they have previously visited. However, they cannot jump forward to a page which they have not yet been to. Note: A user wishing to exit the application at any time should use the link marked Exit this Individual Application. If the user exits the application in any other way, such as closing the browser or clicking the Log Off link at the top of the page, the application will remain in use and no other user can access the application. If that occurs, the firm must either instruct the person to reenter the application and exit "gracefully" by using the Exit this Individual Application link or the firm must disable the application from Apply for Registration, Finish an Incomplete Application link or Update/Withdraw Registration , Processes Not Complete under Internal Processing.