Division of Swap Dealer and Intermediary Oversight

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.

 

Director

Matthew Kulkin

 

Chief Counsel Branch

Chief Counsel Frank Fisanich

Associate Chief Counsel Andrew Chapin

 

Examinations Branch

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]

 

[email protected]