Notices to Members

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Notice I-14-27

October 31, 2014

All IB financial reports required to be filed electronically including IB annual certified FOCUS reports

In order to increase efficiencies, NFA amended NFA Financial Requirements Section 5 to require all IB financial reports to be filed electronically, including annual certified FOCUS reports submitted by IBs that also are broker/dealers.

Beginning with the Oct. 31, 2014 IB financial reports, all IB FOCUS reports, including annual certified FOCUS reports, must be filed electronically through the WinJammer™ system, which recently was upgraded to accept the annual certified filings. All other IB financial filings are required to be filed electronically through NFA's EasyFile system.

Questions concerning this new requirement should be directed to NFA's Information Center at 800-621-3570 or 312-781-1410, or by email at

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