This paper was presented at the ABA Derivatives & Futures Law Committee Winter Meeting on January 30, 2025.
Partner Matthew Kulkin, Special Counsel Megan O'Flynn and Associate Joshua Nathanson provide three strategic considerations for companies contemplating transactions involving entities registered with and regulated by the Commodity Futures Trading Commission (CFTC): engaging in comprehensive due diligence, updating regulatory records and forms, and communicating changes in control to the CFTC or the National Futures Association (NFA), as required by the Commodity Exchange Act, CFTC regulation, and NFA rules.
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