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Notice I-13-29

October 01, 2013

U.S. Government Shutdown - CFTC DSIO Contacts

Due to the U.S. government shutdown, the CFTC has asked NFA to send this information to our Members from Gary Barnett - CFTC Director, Division of Swap Dealer and Intermediary Oversight:

As you know, the U.S. government has shut down due to a lack of Congressional appropriations. The CFTC, as well as a number of other agencies, have accordingly been shut down.

Under authority provided in the law, there are a limited number of personnel that have been "excepted" and, as such, are permitted to work to help protect life and public property. These personnel are available to respond to emergency situations, and should be contacted if the need arises. Please note that they are not authorized to respond to normal operating activities.

In the event your firm has any circumstances arise where you need to contact the CFTC for reasons other than normal operating activities, for the Division of Swap Dealer and Intermediary Oversight, please contact the individuals listed below.






Gary Barnett




Kevin Piccoli

Deputy Director, Examinations



Erik Remmler

Deputy Director, Registration and Compliance



Tom Smith

Deputy Director, Capital and Margin


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