The WinJammerTM Online Filing System is a web application developed jointly by the CME Group, Inc. and the National Futures Association. The WinJammerTM 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 WinJammerTM Online Filing System include:
The CFTC accepts filings using the WinJammerTM 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.
The steps to get your firm ready to start filing financials through the WinJammerTM Online Filing System are listed below. If you have questions, you may contact any member of NFA's WinJammerTM support staff.
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 WinJammerTM. 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 WinJammerTM. Once added, that designated individual must log into WinJammerTM 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 WinJammerTM Once the Agreement is submitted, the FCM's DSRO must approve the designee before that person can begin submitting these statements through WinJammerTM.
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.
The WinJammerTM Online Filing System contains a quick start help guide which details how your security manager can initially log into the WinJammerTM Online Filing System, set up additional users, and how users can be approved to submit statements.
If you have any questions regarding the WinJammerTM Online Filing System, you may contact any member of NFA's WinJammerTM support staff.
Access to the WinJammerTM Online Filing System is available through the link below.
You can check the registration status and disciplinary history of any futures firm or individual.