Get End User Clearing Exception Form

Filling out the End User Clearing Exception Form is essential for users looking to claim the exception from clearing for certain swaps. This guide provides step-by-step instructions to help users complete the form accurately and effectively.

Follow the steps to complete the End User Clearing Exception Form online.

1. Press the ‘Get Form’ button to obtain the form and open it in your preferred editing tool.
2. Fill out the Entity Information section, including the full legal name of the electing counterparty, optional DTCC account number, and the CICI/LEI required for filing.
3. Complete the Primary Contact Information, ensuring to provide the name, contact phone, and email of the person responsible for filing the form.
4. Indicate the Required Regulatory Information by checking one of the options regarding financial entity status, confirming whether the swaps are utilized to hedge or mitigate risk.
5. Specify how the electing counterparty meets its financial obligations related to non-cleared swaps by checking all applicable options in the Financial Obligations section.
6. In the Issuer of Securities section, indicate whether the electing counterparty is an issuer of securities and provide the required details if applicable.
7. Sign the form, providing the physical or electronic signature, name, title, and date of execution to ensure that the filing is valid and official.
8. Return the completed form to the operations email inbox as a hard copy or electronically, and ensure all required information is provided for the form to be considered complete.
9. Upon submission, monitor for any communication regarding the completeness of your form and make necessary adjustments as indicated by the reviewing team.

Complete your End User Clearing Exception Form online today to ensure compliance and streamline your reporting process.