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 Mutual Funds

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

Segregation Acknowledgement Letter - Money Market Mutual Funds

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

CFTC Part 22 Cleared Swaps Customer Acknowledgment Letter: Money Market Mutual 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 and CBOT Rule 930.D (customer to firm)

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CME Group is the world’s leading derivatives marketplace. The company is comprised of four Designated Contract Markets (DCMs).
Further information on each exchange's rules and product listings can be found by clicking on the links to CME, CBOT, NYMEX and COMEX.

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Financial and Regulatory Surveillance Forms

General Forms

Subordinated Debt

Cash Loan Agreement

Financial Related

Guarantee Forms

Letters of Credit

More in Financial & Regulatory Surveillance

Clearing Home

Financial and Regulatory Surveillance

Financial Surveillance Programs

Joint Audit Committee