The Audit Department, a division of the Clearing House, has primary regulatory responsibility for about half of CME clearing members. Many clearing members are also members of other exchanges, and under a participatory effort known as the Joint Audit Committee (JAC), U.S. futures exchanges assign a "lead regulator" of these common members to reduce duplication of surveillance efforts. The lead regulator, or Designated-Self Regulatory Organization (DSRO), is primarily responsible for the financial surveillance of its allocated members.

Through direct surveillance and information sharing with JAC members, this mission of ensuring the financial integrity of CME clearing members is specifically accomplished through a variety of financial surveillance programs as outlined below:

Reporting: Clearing members must submit full financial statements monthly, provide certified financial statements annually, and make more frequent reports (daily) as directed.

Inspection: Generally, each clearing member is subject to a financial and operational examination every year. These examinations are tailored to focus on the specific risks of the clearing member and are performed on a surprise basis.

Audit Information Bulletins can be found under " Advisory Notices".