The Division of Swap Dealer and Intermediary Oversight (DSIO) has jurisdiction over intermediaries who transact in the futures, options, forex, cryptocurrencies, and swaps markets.
Intermediaries include Futures Commission Merchants (FCMs), Introducing Brokers (IBs), Swap Dealers (SDs), Commodity Pool Operators (CPOs), Commodity Trading Advisors (CTAs), and Retail Foreign Exchange Dealers (RFEDs).
In addition, the Division oversees the National Futures Association (NFA), a registered futures association and self- regulatory organization for the US derivatives industry.
DSIO is organized into four branches: Office of the Chief Counsel; Examinations; Managed Funds & Financial Requirements; and Registration & Compliance.
Chief Counsel Branch
Chief Counsel Frank Fisanich
Associate Chief Counsel Andrew Chapin
Deputy Director Joseph Sanguedolce
Associate Director (Kansas City) Thomas Bloom
Associate Director (Chicago) Carrie Coffin
Associate Director (New York) Gerald Nudge
Associate Director (Kansas City) Ralph White
Managed Funds & Financial Requirements Branch
Deputy Director Thomas Smith
Associate Director Josh Beale
Associate Director Warren Gorlick
Associate Director Amanda Olear
Registration & Compliance Branch
Acting Deputy Director, Amanda Olear
Associate Director Rajal Patel
Registrants can notify DSIO staff of disruptions or other material events which do not require formal notification to the Commission (e.g., Regulation 1.12 notices) via email at [email protected]