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In forceClearing organisation reportingLast checked 13 November 2026

DCO financial resources and annual financial reports (Part 39 (regulations 39.11(f) and 39.19(c)))

A regulatory return listed by the Commodity Futures Trading Commission (CFTC), United States.

The size and composition of a derivatives clearing organization's (DCO's) own financial resources, meaning the funds it holds to cover a clearing member default and to run its business, reported quarterly, plus a full audited set of annual financial statements, so the Commission can check a DCO meets the minimum financial resources its core principles require. Source

Official title: Derivatives clearing organization financial resources reporting

The facts

Who files
Every derivatives clearing organization registered with the Commission under section 5b of the Commodity Exchange Act. Source
How often
A quarterly report of financial resources under regulation 39.11(f), plus an annual audited financial statement under regulation 39.19(c), filed together with a reconciliation against the most recent quarterly report. Source
Deadline
The annual audited financial statements are due within 90 days of the end of the DCO's fiscal year, filed together with a reconciliation of the balance sheet in those statements against the DCO's most recent quarterly financial resources report (or a statement that there is no material difference). Source
Format
Other. No single published file format was found on the pages read for the quarterly financial resources report or the annual audited statements. A related, separate Part 39 obligation, the DCO's daily position and margin reporting under regulation 39.19(c)(1), uses a FIXML message format. Source
How it is filed
Filing routes recorded for the CFTC: CFTC Portal; WinJammer; NFA EasyFile (Form PQR and Form PR). See how firms file with the CFTC.
Status
In force
Legal basis
Group
Clearing organisation reporting

Templates (0)

The library lists no templates for this return.

No named schedules for the quarterly financial resources report or the annual audited statements were found on the pages read. Source

Validation rules

No published validation rules were found for this return. No published, field-level validation ruleset for the quarterly financial resources report or the annual audited statements was found on the pages read. Source

Public data

Published only added up across firms. A DCO must itself publish, on its own public-information page, the size and composition of its financial resource package, updated as of the end of the most recent fiscal quarter or on Commission request; the Commission does not republish this centrally. Source

Official documents (2)

The CFTC's own files, with the size and SHA-256 fingerprint of each as downloaded on 13 November 2026, so anyone can tell whether a copy is the same version.

Sources

Every page and document this return's facts were read from.

Knowing exactly what is collected, in what format and under which rules is the first step to real-time supervision. Line4 builds SupTech software for financial regulators that runs checks like these as each return arrives.

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Last checked 13 November 2026.