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Investment Adviser › Commodity Futures Contracts

UB Greensfelder LLP

A Fish Out Of Water? A Futures Clearing Firm In A FINRA Arbitration

UB Greensfelder LLP on

I have previously written about issues uniquely affecting individuals who are dually registered as securities representatives (Series 7) and commodities associated persons (Series 3). In an Opinion and Order issued June 4,...more

Bass, Berry & Sims PLC

Chris Lazarini Examines Whether a Commodity Futures Contract is a "Security"

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini examined a case in which the appellate court upheld a jury verdict in favor of Plaintiff, finding commodity futures contracts are not "securities" and Plaintiff, who was trading them...more

Goodwin

Commerce Department Survey of Financial Services Transactions with Foreign Persons Due November 1, 2015

Goodwin on

The Commerce Department’s BE-180 Survey of Financial Services Transactions is a mandatory benchmark survey conducted every five years and administered by the Bureau of Economic Analysis (the “BEA”). Reports are required by...more

Katten Muchin Rosenman LLP

Bridging the Week - July 2015 #2

Katten Muchin Rosenman LLP on

Alleged Fictitious Sales to Facilitate Improper Money Pass Prompts CFTC Injunctive Action and Asset Freeze: The Commodity Futures Trading Commission filed a lawsuit in a federal court in Illinois against Yumin Li and Kering...more

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