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Formerly a member of the Chicago Mercantile Exchange, Jeffrey Barclay parlayed the knowledge and experience he acquired there into a second career as an attorney dedicated to clients in commodities, securities and other financial industries. He has assisted clients in the private offering of more than 50 commodity pools and hedge funds, and he routinely represents businesses and individuals before the Commodity Futures Trading Commission (CFTC), the Securities and Exchange Commission (SEC), the National Futures Association (NFA), the National Association of Securities Dealers (NASD) and state securities regulators.
Before joining Schuyler Roche, Jeffrey served two commercial law firms from 1997 through 2006, concentrating in various transactional issues relevant to the financial services sector. Prior to enrolling in law school, he acquired hands-on knowledge of the securities and commodities industries, working as a clerk, broker and independent market analyst.
Specializing in transactional and regulatory work relating to commodity futures and securities, Jeffrey serves a variety of clients, including commodity trading advisors, commodity pool operators, futures commission merchants, introducing brokers, floor brokers, investment advisors, broker dealers and hedge fund operators. His skill and experience include:
- preparing disclosure documents for commodity trading advisors, commodity pool operators and hedge fund operators
- counseling clients on investment advisor registration and/or on licensure requirements and exemptions
- drafting no-action letters on behalf of clients to the CFTC
- representing clients facing inquiries, investigations and/or enforcement actions initiated by the SEC, CFTC, NFA, NASD and state securities regulators
- advising futures commission merchants and floor brokers regarding exchange requirements
- counseling introducing brokers on compliance issues
- representing clients in membership proceedings before self-regulatory futures organizations.
If you seek an attorney who can fathom the dynamics of securities and commodity futures as only an insider can, we encourage you to contact Jeffrey Barclay.
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