Thomas J. Smith

Deputy Director, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission

Tom Smith is a Deputy Director in the Division of Swap Dealer and Intermediary Oversight of
the Commodity Futur es Trading Commission. Tom’s primary responsibilities include capital,
margin, segregation, and financial reporting requirements for futures commission merchants,
swap dealers, major swap participants, and introducing brokers.
Tom joi ned the Commission in 1992 and has worked in various capacities including as an
Attorney Advisor in the Office of Proceedings where he worked on adjudicatory matters, and as
a Special Counsel in the Division of Trading and Markets where he worked on issues concerning
futures commission merchants, clearing organizations and contract markets. Tom spent several
years in public accounting prior to joining the Commission