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Assistant Real Estate

New City, New York, 10956, United States
May 24, 2010

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Scott David Ferber

** ***** ****

New City, NY **956

(845) ***-****


Brooklyn Law School, Brooklyn, NY Juris Doctor, June


Class Rank: Top 27%

Honors: Notes and Comments Editor, Brooklyn Journal of Corporate,

Financial and Commercial Law

Awards: Wall Street Journal Student Achievement Award, Lisle Merit

Scholar, CALI Excellence for the Future Awards (Banking

Law, Real Estate Practice)

Independent Research: Commodity Trend Service v. CFTC Note, (Proposes

regulatory scheme for impersonal investment advice of

futures. Compares SEC and CFTC regulations.)

University of Delaware, Alfred E. Lerner College of Business and Economics,

Newark, DE

Bachelor of Science in Business Administration, June 2004

Major: Finance

Award: Academic Merit Scholarship

Honors: Dean's List (Two Semesters)



Bar Admission: State of New York (2008)

New York County Lawyers' Association; Regulatory Chair of the Futures and

Derivatives Committee

The Association of the Bar of the City of New York



Capital Market Services, LLC New York, NY

Legal Department

Staff Attorney September 2009 - Present

Draft memorandum concerning federal, CFTC, NFA and state law relating to

over-the-counter foreign exchange trading. Implement and analyze the

regulatory objectives of internal business projects. Draft, negotiate and

review various corporate contracts including ISDA, non-disclosure and

licensing agreements. Analyze and draft memorandum concerning various

legal areas affecting the business. Investigate trading activities for

fraud and draft termination and warning letters to clients and Introducing

Brokers when necessary. Supervise US and UK compliance officers. Review

marketing material for NFA and CFTC compliance and file with the NFA when

necessary. Investigate fraudulent market activity, analyze and draft final

determination letters where necessary. Draft and review internal policies

and procedures to ensure compliance with CFTC and NFA rules.

CME Group, NYMEX Division New York, NY

Office of the General Counsel

Attorney October 2007 - November 2008

Analyzed federal commodity laws, internal rules, federal commodity case law

and congressional amendments. Drafted Congressional/federal agency

comment letters and testimony. Coordinated and implemented regulatory

aspects of internal business projects. Drafted and reviewed internal rule

changes and prepared self-certification submissions for CFTC filing.

Assisted in all aspects of adjudication committee proceedings including

drafting decisions, drafting default judgments, analysis of evidence, and

preparing summaries of federal law and cases. Drafted and submitted

regulatory filings to international regulators in order to maintain

international trading rights for NYMEX products. Performed document review

and production in response to State, Federal and Congressional subpoenas.

Drafted disclosure schedules, interpreted provisions in merger agreement

and performed due diligence in connection with the merger between NYMEX and

CME Group. Assisted with corporate transactions by performing due

diligence analysis along with drafting and interpreting offering documents.

Drafted, reviewed and negotiated licensing agreements, non-disclosure

agreements and delivery point agreements.

Scott David Ferber Resume Page 2

NYMEX Law Clerk Summer 2006

Edited and reviewed registration statement and analyzed applicable

securities laws. Drafted memorandum relating to federal securities law

compliance during the pre-filing, quiet and post registration periods.

Negotiated memoranda of understanding with foreign exchanges and responded

to requests for additional information. Prepared memoranda and led

meetings concerning current litigation and CFTC requests.

New York Stock Exchange, Division of Enforcement New York, NY

Law Clerk Fall 2006

Drafted motions for summary judgment, summary fine, and requests for formal

discipline against member firms and registered representatives for non

compliance with securities laws. Analyzed federal and NYSE laws, and

prepared memoranda relating to violations. Conducted presentations

highlighting the differences between federal and NYSE laws concerning the

regulation of broker dealers. Reviewed internal governance and self-

regulatory compliance.

Professors Arthur Pinto and James Fanto Brooklyn, NY

Research Assistant June 2005 - April 2006

Analyzed statutes, articles, European regulations and codes, and wrote

memoranda concerning corporate law issues. Researched banking laws, all

aspects of broker dealer regulation and Rule 477 IPO withdrawals. Prepared

memorandum relating to the changing structure of credit rating agency

regulation. Conducted research relating to corporate governance and

corporate law. Prepared and reviewed citations. Proofread documents.

Weinberg Center for Corporate Governance Newark, DE

Research Assistant for Professor Charles Elson January 2004

- June 2004

Conducted research concerning corporate governance issues. Compiled and

organized articles, cases, and legislation for various classes and

symposium speakers. Performed general administrative tasks. Assisted

judges and lawyers before and during panel discussions.

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