January 23, 2015

Division of Swap Dealer and Intermediary Oversight Announces that Swap Dealers and Major Swap Participants May Furnish Chief Compliance Officer Annual Reports to the Commission through WinJammer

Washington, DC — The U.S. Commodity Futures Trading Commission’s (CFTC or Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) today announced that Swap Dealers (SDs) and Major Swap Participants (MSPs) may furnish the annual reports of their Chief Compliance Officers (CCOs) to the Commission through WinJammer^TM, and do not need to use the Commission’s Web portal.

Regulation 3.3(f) requires that the CCOs of SDs and MSPs furnish annual reports to the Commission. On March 22, 2013, the Commission implemented a web-based portal to facilitate the furnishing of CCO annual reports to the Commission by SDs and MSPs. (See CFTC Press Release 6541-13) Recently, the National Futures Association (NFA) changed its rules to require that SDs and MSPs submit their CCO annual reports to NFA as well, upon request. (See NFA Notice to Members I-14-20) NFA is implementing that requirement by directing SDs and MSPs to file CCO annual reports through WinJammer^TM as of January 23, 2015.

Since CCO annual reports submitted by SDs and MSPs through WinJammer^TM will be furnished to the CFTC automatically, SDs and MSPs need not use the Commission’s Web portal to re-submit those same reports to the Commission. The CFTC is also already receiving the CCO annual reports of Futures Commission Merchants through WinJammer^TM.

Last Updated: January 23, 2015