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Clearing Organizations

  • How to Register as a Derivatives Clearing Organization

    An entity seeking to become registered as a derivatives clearing organization (DCO) must file its application with the CFTC electronically via email to submissions@cftc.gov. The CFTC encourages applicants to contact staff of its Division of Clearing and Risk for guidance in preparing an application for registration. Questions may be submitted via email, fax (202-418-5536) or telephone (202-418-5430). Applicants must submit a completed Form DCO, including cover sheet, all applicable exhibits, and any supplemental materials:

    Form DCO (PDF)

    Form DCO (Word)

    The CFTC will not begin processing an application unless the applicant has filed the application as required by CFTC Regulation 39.3 (17 CFR 39.3). Failure to file a completed application will preclude the CFTC from determining that an application is materially complete, as provided in Section 6(a) of the Commodity Exchange Act (CEA), 7 USC ยง 8(a).

    The CFTC will review an application for DCO registration pursuant to the 180-day time frame and procedures specified in Section 6(a) of the CEA and CFTC Regulation 39.3 (17 CFR 39.3). The CFTC will approve the application, register the applicant as a DCO subject to conditions, or deny the application.

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