Financial and Regulatory Surveillance Forms

You will find a variety of Financial and Regulatory Surveillance department forms and agreements on this page.

General Forms

Agency Agreement

Indemnification Acknowledging Ownership of Assignment of Membership

Subordinated Debt

Revolving Loan Agreement

Equity Revolving Subordinated Loan Agreement

Secured Demand Note Collateral Agreement

Subordinated Debt Amendment Form - Sample

Subordination Agreement Information Statement

Financial Related

Secured Acknowledgement Letter - Depositories

Secured Acknowledgement Letter - Money Market Funds

Segregated Acknowledgement Letter - Bank, Trust Company, DCO or FCM

Segregated Acknowledgement Letter - Money Market Funds

CFTC Part 22 Cleared Swaps Customer Acknowledgement Letter - Bank, Trust Company, DCO, FCM

CFTC Part 22 Cleared Swaps Customer Acknowledgment Letter - Money Market Funds

Guarantee Forms

Cross Guarantee Agreement

Guarantee of Obligations to CME and CBOT

Security Deposit Guarantee

Letters of Credit

Uniform Form of Irrevocable Standby Letter of Credit (Pass-Through)

Uniform Form of Irrevocable Standby Letter of Credit (Non Pass-Through)

Instructions for Uniform Irrevocable Letter of Credit (Non Pass-Through)

CME, CBOT and NYMEX Rule 930.C (Customer to Firm)

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