Cooper Law PLLC
Sage Counsel. Dogged Representation.
Practice Areas
Cooper Law PLLC advises on legal and regulatory issues related to financial services with a particular focus on commodity derivatives, securities, and digital assets.
Commodity Derivatives
Cooper Law brings a wealth of expertise in the sales and trading of derivatives across the entire range of traditional commodity asset classes such as agricultural, energy, rates, currencies, metals, and equities, as well as new and novel areas such as digital assets and prediction markets.
Securities
Cooper Law is experienced in representing clients in securities legal and regulatory matters involving trading equities, preferred securities, and debt securities as well as equity and other security derivatives.
Digital Assets
Cooper Law has years of experience in advising Fintech clients regarding distributed ledger applications for financial services as well as issues arising from the sales and trading, lending and custody of digital assets.
Who We Advise & Represent
Trading Platforms
We advise exchanges and clearinghouses on compliance with designated contract market (DCM), swap execution facility (SEF) and derivatives clearing organization (DCO) Core Principles in contexts ranging from their initial application to rule enforcement reviews and self-certification submissions. We also represent market makers and other liquidity providers with regard to their trading activities.
Intermediaries
We advise swap dealers (SDs), securities-based swap dealers (SBSDs), futures commission merchants (FCMs), broker-dealers (BDs), introducing brokers (IBs), commodity trading advisors (CTAs), commodity pool operators (CPOs), registered investment advisers (RIAs) and alternative investment fund managers (AIFMs) on compliance with the Commodity Exchange Act, CFTC regulations, NFA rules, the Securities Exchange Act, Investment Advisers Act and SEC regulations. We also represent these firms in CFTC, SEC and SRO investigations and examinations.
Commodity End Users
and Traders
We represent commodity producers, merchandisers, and users, along with CPOs, CTAs and AIFMs in CFTC and SRO investigations related to their trading and compliance with position limits, special calls, volume threshold and large trading reporting. We also represent individual traders with respect to their trading activities.
Digital Asset Service Providers
We represent and advise a wide range of digital asset service providers or crypto asset service providers (CASPs) functioning as exchanges, dealers, brokers, custodians, market makers and liquidity providers as well as stablecoin issuance support services
Chambers Says:
"Katherine has a strong depth of technical knowledge across a range of market structures and regulatory regimes. Over the years she has provided sage advice."
"She is astute and willing to take on positions that are novel but well grounded and thought out."
"Katherine had an ability to understand the situation and ask the right questions. Her advice and service was excellent."
Katherine Cooper is recognized for her longstanding experience in the derivatives space. She is particulary sought after by clients relating to enforcement actions.