Prominent Financial and Regulatory Counselors

Futures & Derivatives

Chicago has served as a hub for national commodities and futures trading since the mid-19th century when the railroads first arrived and the Chicago Board of Trade opened. Lawrence Kamin has been a part of this rich history for decades – a valuable resource assisting clients through a complex and ever-changing landscape. As the futures and derivatives markets have diversified and shifted to international exchanges and virtual markets, our practice has evolved to address new investment contracts in expanded markets.

From the organization and registration of new FCMs, introducing brokers, proprietary trading firms and money managers such as CTAs and CPOs, through the design and implementation of financial controls and compliance systems, to the sale or liquidation of brokerage firms, Lawrence Kamin attorneys assist clients in identifying their objectives and implementing strategies to accomplish them. We assist in transactions involving exchange traded products, as well as over-the-counter (OTC) derivatives and alternative investments. We advise participants in the fund industry, including sponsors, executives and institutional investors. Our clients benefit from the vast knowledge and rich experience our attorneys have amassed through practice in this area. Prior employment and continual contact with industry participants and regulators enables our attorneys to offer practical advice, and our established lines of communication with regulators help us anticipate the focus of regulatory inquiries and provide credibility in negotiations and discussions.

Our firm’s diverse roster of practice areas complements our futures and derivatives regulatory work. Our business & corporate services colleagues counsel and represent clients in connection with the mergers and acquisitions of various firms. In conflicts ranging from disputes between firms, to customer litigation to employment disputes, our litigation & risk management attorneys represent our futures and derivatives clients in state and federal court, CFTC and exchange proceedings, and in NFA, CBOT, CME, and CBOE arbitrations.

Recent Enforcement Orders Remind FCMs: Train Your Brokers on Post- Execution Allocation Rules.
MF Global: A Comparison of the Trustee’s Report Recommendations and the House Staff’s Report Recommendations in Futures & Derivatives Law Report (February 2013. Volume 33. Issue 2)
Recent Net Capital Increases for FCMs and IBs, Futures & Derivatives Law Report
Critical Elements of an Effective Supervisory Structure, Securities & Commodities Regulation
When is an Unregulated Derivatives Dealer Considered to be a “Stockbroker” for Purposes of the Bankruptcy Code?, Thomson/West Legalworks
Who is a Proprietary Trader 2004?, Futures & Derivatives Law Report
Security Futures Two Years After the CFMA: An Assessment, Futures & Derivatives Law Report, Vol 23, No. 2
A Pool Too Big for a FCM or a Broker-Dealer, Futures & Derivatives Law Report, Vol. 22, No. 5
Security Futures-A New Frontier, The Review of Securities and Commodities Regulation, Vol. 35, No. 10
Who is a Proprietary Trader? A Changing and Rocky Landscape., Futures & Derivatives Law Report, Vol 20, No. 8
Regulation of Electronic Communication, Execution and Delivery of Documents to Customers of FCM/Bds, American Bar Association Annual Meeting, International Law Section Panel on Securities Transactions and Securities Markets in the Age of Cyberspace
When is an FCM, CTA or Pool a Securities Broker-Dealer, an Investment Adviser or an Investment Company Under the Securities Laws?, Futures & Derivatives Law Report
State and Federal Court Litigation Involving Futures and Derivatives, 8 Securities News, No. 2
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