An authorized signer for an FCM, RFED or Broker-Dealer IB is required to submit the firm's FOCUS Report or Form 1-FR. An authorized signer for an FCM, RFED or Broker-Dealer IB, 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 User Identification Request Agreement (Agreement).
An authorized signer for an SD is required to submit the firm's FOCUS Report, Form FR-CSE-NLA, Form FR-CSE-BHC, or other financial statement as required in CFTC Regulations. An authorized signer for an SD, as defined in CFTC Regulations 23.105(f) and 23.105(p), must complete the Agreement.
The Agreement serves as an oath or affirmation that to the best knowledge and belief of the individual making such oath or affirmation, the information submitted in the firm's FOCUS Report, Form 1-FR, Form FR-CSE-NLA, Form FR-CSE-BHC or other financial report as required in CFTC Regulations is true and correct.
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 (CEO) or chief financial officer (CFO) of the FCM, RFED, or Broker-Dealer IB or the duly authorized officer of an SD; 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 Agreement.
The firm should follow the steps below to complete the Agreement.
- The security manager must first add the authorized signer as a user via the "Firm Maintenance" section in WinJammerTM.
- Once added, that authorized signer must log into WinJammerTM and access the "Request to Submit Statements" section.
- The authorized signer must then download and complete the "User Identification Request Agreement" and submit the completed agreement through WinJammerTM.
NFA will contact the authorized signer by phone or email to complete the approval process. Additionally, a notification of approval will appear on the WinJammerTM welcome screen when the authorized signer logs into the system. If the status of the submitter should change, whereby this person is no longer authorized to sign financial statements for the firm, a member of NFA's WinJammer™ Compliance support staff should be notified and a new submitter must be authorized.
Additional information for FCMs
An FCM's CEO or CFO may also designate individuals to submit the firm's daily segregation statements, SIDRs and certain notices through WinJammerTM. In order to add an individual designated by the CEO or CFO to submit the firm's daily segregation statements, SIDRs and notices, the FCM's security manager should add the designee as an additional user.
The designee should follow the steps below.
- The designee must log into WinJammerTM and access the "Request to Submit Statements" section.
- The designee must download the "User Identification Request Agreement" and have it completed and signed by the CEO or CFO. Once signed, the designee should 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. The designee will be notified by the DSRO via phone or email if approved. Additionally, when the designee logs into WinJammerTM a notification of approval will appear on the welcome screen.