PIN Agreement |  Help |  Other Issues for FCMs |  Issues for IBs |  Links to PIN Agreements |  WinJammer^TM Frequently Asked Questions | 

The required software for 1-FR-FCM, FOCUS II and FOCUS IIA filers is WinJammer version 4.0. WinJammer is a Windows application developed jointly by the Chicago Mercantile Exchange Inc., Chicago Board of Trade, and National Futures Association. WinJammer is the futures industry standard for firms to enter and transmit FOCUS, 1-FR, and other financial statements. Organizations supporting WinJammer include:

• Chicago Board of Trade
• Chicago Board Options Exchange
• Chicago Mercantile Exchange
• Chicago Stock Exchange
• Commodity Futures Trading Commission
• Federal Reserve Bank of New York
• National Futures Association
• New York Mercantile Exchange

The CFTC accepts filings using WinJammer software. As such, all FCMs will also file electronically with the CFTC. NFA will distribute information about the software with instructions after receiving a properly executed PIN agreement. Statements are digitally signed via PINs and encrypted prior to transmission.

PIN Agreement

You must complete the appropriate PIN agreement (available below) in its entirety as part of the initial registration process. 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.

When completing a PIN agreement, you must choose a four-digit numerical PIN number. FCMs must choose a PIN for both NFA and the CFTC and this PIN may be the same if you so choose. IBs need only choose a PIN for NFA. You will not file paper copies of your un-audited financial statements, however, please note that certified reports can not 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. If you determine to have more than one authorized signer, you must complete a PIN agreement for each signer and the PIN numbers may not be identical. Please retain a completed copy of the PIN agreement for your files.

Once NFA receives a completed PIN agreement, the WinJammer software and instructions will be e-mailed to you. In a separate e-mail you will receive the encrypted PIN file(s) you will need to complete the setup of your WinJammer software.

If you have questions, you may contact any member of NFA's WinJammer support staff.

Help

For those who received the WinJammer CD-ROM, the complete "Help" documentation is accessible without installing the software, or it can be found on the WinJammer web site. You will also be able to download future updates to the WinJammer software from the WinJammer web site. When an update to the software is made that you are required to download, NFA will send you an alert to the e-mail address that you provided in your PIN agreement. If your e-mail address changes or you need assistance with WinJammer , please contact NFA at winjammerhelp@nfa.futures.org.

If you have lost or misplaced your PIN, or your PIN has been compromised, contact anyone on the WinJammer support staff for a replacement PIN.

Other Issues for FCMs

You will also need to transmit your statement electronically to the CFTC using WinJammer . You will no longer file paper copies of your un-audited financial statements. (Certified reports cannot be filed electronically). If you have questions regarding your filing with the CFTC, contact Julie Mohr at (312) 596-0568 or jmohr@cftc.gov.

Issues for IBs

You will no longer need to submit your financial statements to the CFTC and you will no longer file paper copies of your un-audited or certified financial statements. See Notice to Members I-06-19 for more information regarding certified statement filing.

In order to sign up for a WinJammer PIN, please complete the applicable PIN agreement below and send it to:

PIN Agreements

• IB PIN Agreement (FOCUS filers only)

• FCM PIN Agreement