TEL 312 565.1022
FAX 312 565.8300
enowak@SchuylerRoche.com

Closely Held Businesses and Startups

Securities and Commodities Litigation

Commodity Futures

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As an attorney who represents clients in the commodity futures industry, Edward Nowak brings an extensive and varied set of experiences to his work. For years, Ed worked in a wide range of capacities in the industry, ranging from an order clerk at a trade desk and a broker who traded futures and stock options to a risk manager and a compliance officer for a large futures commission merchant. He also worked in the Legal and Regulatory division at the Chicago Mercantile Exchange, where he dealt with exchange rules and disciplinary procedures on a daily basis.

Since the Commodity Futures Trading Commission (CFTC) was established in 1974, the commodity futures industry has evolved into one of the more highly regulated industries in the world. Through his personal and professional experience, Ed has learned that regulation plays a major role in the everyday activities of individuals and companies who work in the commodity futures industry, affecting the manner in which they conduct their business. With the growth of the industry in recent years, the regulatory environment has also expanded. Depending on their business models, futures professionals and firms are subject to the regulations of a broad array of regulatory agencies, including the CFTC, the Securities and Exchange Commission (SEC), the National Futures Association (NFA), the Financial Industry Regulatory Authority (FINRA) and state securities regulators, as well as the various exchanges. Ed's familiarity with these agencies and their procedures is an asset to clients looking for guidance in navigating the increasingly complex regulatory environment.

Ed's business experience working with legal counsel on a myriad of litigation and compliance issues involving regulation was instrumental in his decision to attend law school.

At Schuyler Roche, P.C., Ed applies his deep experience in the field by providing clients with services that address pressing issues related to industry regulation—from consulting on general regulatory matters and compliance requirements to completing transactional work such as preparing disclosure documents. His work can also involve dealing with registration and/or licensure issues and their exemptions. In addition, Ed also provides assistance to clients who face inquiries, investigations and/or enforcement actions initiated by the SEC, CFTC, NFA, FINRA, state securities regulators or the various exchanges.

With clients, Ed is friendly and personable, while maintaining a tough and competitive stance to those opposed to his clients' interests. In his work, Ed says he enjoys the opportunity to represent larger companies and help smaller firms and individuals who are looking to start up or expand their business operations. This philosophy corresponds to his larger goal as an attorney focusing on the commodity futures industry "to help clients grow their business, while protecting them as needed when they face issues related to regulation". Ed offers the perspective of a professional with deep roots in this industry—and knowledge about the legal issues firms and futures professionals may face. His clients include commodity trading advisors, commodity pool operators, futures commission merchants, broker dealers, introducing brokers, floor brokers and hedge fund operators.

If you are looking for an attorney who understands the complex dynamics and details of commodity futures regulation and who has a wide and diverse background in this fast- paced and highly competitive industry, give Ed a call.

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