The commodity futures industry is a fast-paced and highly regulated industry.
More than ever, commodity trading advisors, commodity pool operators, floor brokers, introducing brokers, futures commission merchants and other market participants need legal counsel to guide them through this industry’s constantly changing regulatory environment.
Howard & Howard’s Commodity Futures industry focus features attorneys with professional commodities experience, including a fund manager and former floor broker on the trading floor at the Chicago Mercantile Exchange (CME).
Providing a unique combination of hands-on professional experience and problem solving, our Commodity Futures group offers our clients practical, real-world counsel across a range of transactional, advisory and litigation services.
Howard & Howard routinely handles:
- Preparing and filing disclosure documents for commodity trading advisors and commodity pool operators.
- Preparing offering documents for hedge fund operators.
- Counseling clients on investment adviser and investment company registration, licensure requirements and exemptions.
- Transactional work for commodity trading advisors, commodity pool operators, hedge fund operators, futures commission merchants, introducing brokers and others.
- Representing clients in inquiry, investigation or enforcement proceedings before the Securities and Exchange Commission (SEC), the Commodities Futures Trading Commission (CFTC), the National Futures Association (NFA), the CME, the Financial Industry Regulatory Authority and other regulatory bodies.
- Advising clients on SEC, CFTC, NFA and exchange requirements and compliance issues, including the appropriate use of electronic trading systems and new technologies.
- Appearing before NFA and CME arbitration panels defending industry registrants against customer complaints.
- Appearing before NFA and CME Business Conduct Committee panels defending industry registrants and participants against regulatory complaints.
- Representing clients in the foreign currency trading or FOREX market.
Howard & Howard’s Commodity Futures practice is operated out of its office in Chicago, the undisputed center of the commodity futures industry. Our presence in this marketplace allows our Commodity Futures group to be in the best position to provide exceptional legal services for our clients.