FCMs and RFEDs must file all monthly unaudited financial statements electronically using the WinJammer™ system. A copy of this filing must also be sent to the CFTC. Certified financial statements for FCMs and RFEDs must be filed through the WinJammer™ system.
Independent IBs must also file their financial statements electronically. Broker-dealers filing FOCUS II or FOCUS IIA must use WinJammer™ to submit their unaudited and certified financial statements. 1-FR-IB filers must use EasyFile to file both their unaudited and their certified financial statements.
WinJammer™ users go to Electronic Filings to file their statements and to learn how to become authorized to make filings. EasyFile users also go to Electronic Filings to file their statements, but they must ask their firm's Security Manager to authorize specific individuals to use the system.