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 in hard copy with both NFA and the CFTC.
Independent IBs must also file their unaudited financial statements electronically. Broker-dealers filing FOCUS II or FOCUS IIA must use Winjammer to submit their unaudited financial statements, and they must submit their certified financial statements to NFA in hardcopy form. 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.