Services
United States
The Shipkevich Law Firm, PLLC offers guidance in the complex regulatory structure and oversight of your business. The US futures industry is regulated by the National Futures Association, the Self-Regulatory Organization, under the jurisdiction of the Commodity Futures and Trading Commission, a federal agency and oversees registration for the following types of firms:
Futures Commission Merchants (FCMs)
An individual or organization which solicits or accepts orders to buy or sell futures contracts or options or futures and accepts money or other assets from customers to support such orders.
Forex Dealer Members
Futures Commission Merchants which deal in Forex and are subject to additional oversight and financial requirements.
Introducing Brokers
An individual or organization which solicits or accepts orders to buy or sell futures contracts or commodity options.
Commodity Trading Advisors
An individual or organization which, for compensation or profit, advises others as to the value of or the advisability of buying or selling futures contracts or commodity options.
Commodity Pool Operators
An individual or organization which operates or solicits funds for a commodity pool.
Foreign
Doing business in the United States for foreign entities is a sophisticated process of registration which can be extremely overwhelming without the appropriate consultation and knowledge of the US regulatory scheme.
We also assist US clients anticipating doing business abroad or setting up operations in a foreign jurisdiction.
Our firm directs your business to obtain proper registration requirements or otherwise exemptions from registration. Our firm will take the time to evaluate the operations and structure of your business to properly advise you which regulatory scheme would be appropriate:
- Banking
- Private Equity funds
- Hedge funds
- Broker-dealers
- Futures Commission Merchants
- Forex Dealer Members
- Introducing Brokers
- Commodity Trading Advisors
- Commodity Pool Operators
