Scott David Ferber
New City, NY **956
abmrwu@r.postjobfree.com
EDUCATION
Brooklyn Law School, Brooklyn, NY Juris Doctor, June
2007
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)
PROFESSIONAL LICENSES AND
ORGANIZATIONS_____________________________________
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
EXPERIENCE__________________________________________________________________
_______
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.