WinJammer™ Online Filing System

The WinJammer^TM Online Filing System is a web application developed jointly by the CME Group, Inc. and the National Futures Association. The WinJammer^TM Online Filing System is the futures industry standard for futures firms to enter and transmit FOCUS, 1FR-FCM, Segregated Investment Detail Reports (SIDR), notice filings and other financial statements. Organizations supporting the WinJammer^TM Online Filing System include:  

• Chicago Board Options Exchange
• CME Group, Inc.
• Chicago Stock Exchange
• Commodity Futures Trading Commission
• ELX Futures, L.P.
• Intercontinental Exchange
• National Futures Association
• The Options Clearing Corporation

The CFTC accepts filings using the WinJammer^TM Online Filing System. As such, all FCMs and RFEDs will also file electronically with the CFTC.

FCMs for which NFA is the DSRO may amend SIDR filings submitted prior to July 17, 2012 via the EasyFile Financial Filing System.

Getting started with the WinJammer^TM Online Filing System

The steps to get your firm ready to start filing financials through the WinJammer^TM Online Filing System are listed below. If you have questions, you may contact any member of NFA's WinJammer^TM support staff.

1. Request that NFA create a Security Manager for your firm. This can be anyone at your firm. It will allow your firm to manage their own logons. Security Manager requests can be sent to WinJammerHelp@nfa.futures.org. Please include the name, phone number and email address for the individual(s) desired.
2. Have your firm’s Security Manager add additional users for your firm if necessary.
3. Have the user that is qualified to sign financial statements for your firm send a request to NFA to be able to submit filings for your firm. This process is the similar to the PIN signer requests in the previous version of WinJammer^TM however; it is online and only requires the approval of NFA. See the Authorized Signer section below for more information regarding appropriate individuals.
4. Once NFA approves the submitter for your firm, you will be ready to file your financial statements through the WinJammer^TM Online Filing System. Keep in mind however that if the status of the submitter should change, whereby they no longer qualify as someone who can sign financial statements for your firm, you will need to notify NFA of the change and a new submitter must be assigned.

Authorized Signer

An authorized signer is required to submit an FCM's Focus or 1 FR-FCM. An authorized signer as defined in CFTC Regulation 1.10(d)(4) who is also a listed principal or Financial Operations Principal (FinOp) of the firm must complete the agreement. For example, if your firm is a sole proprietorship, the agreement must be signed by the proprietor; if a partnership, by any general partner; if a corporation, by the Chief Executive Officer or Chief Financial Officer; and if a limited liability company or limited liability partnership, by the Chief Executive Officer, the Chief Financial Officer, the Manager, the Managing Member, or those members vested with the management authority for the limited liability company or limited liability partnership. If the firm is registered with the Securities and Exchange Commission as a securities broker or dealer, the representative authorized under 240.17a-5 of this title to file for the securities broker or dealer may sign the PIN agreement.

An FCM's CEO or CFO may also designate individuals to submit the firm's daily statements, SIDRs and notices through WinJammer^TM.  In order to add an individual designated by the CEO or CFO to submit the required statements, the FCM's Security Manager must first add the designee as a user via the "Firm Maintenance" section in WinJammer^TM.  Once added, that designated individual must log into WinJammer^TM and access the "Request to Submit Statements" section.  The individual must then download the User Identification Request Agreement and have it completed and signed by the CEO or CFO and submit a PDF of the completed Agreement through WinJammer^TM  Once the Agreement is submitted, the FCM's DSRO must approve the designee before that person can begin submitting these statements through WinJammer^TM.

You will not file paper copies of your un-audited financial statements, however, please note that certified reports cannot be filed electronically and must be filed in hard copy with both NFA and the CFTC for FCMs. IBs only need to file audited financial statements with NFA.

Help

The WinJammer^TM Online Filing System contains a quick start help guide which details how your security manager can initially log into the WinJammer^TM Online Filing System, set up additional users, and how users can be approved to submit statements.

If you have any questions regarding the WinJammer^TM Online Filing System, you may contact any member of NFA's WinJammer^TM support staff.

Access to the WinJammer^TM Online Filing System is available through the link below.

WinJammer^TM Online Filing System