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Paul Architzel is a partner in the Securities Department, and a member of the Broker-Dealer Compliance and Regulation and Derivatives and Futures Practice Groups. He joined the firm in 2010.
Practice
Mr. Architzel will advise firm clients on commodity futures and derivatives rulemaking and enforcement, as recent regulatory reform mandates extensive new regulations over the swaps and derivatives markets.
Mr. Architzel’s practice focuses on all areas of futures regulation, including the regulation of commodity pools and commodity trading advisors, and the regulation of futures exchanges and futures commission merchants. He is an expert on issues involving the listed derivatives markets, the clearing and trading of OTC derivatives, end-user market participation and cross-border access issues. He also handles complex matters that involve the overlapping jurisdiction of securities and futures regulations, as well as compliance issues facing hedge funds and commodity pools. Architzel has practiced actively before the Commodity Futures Trading Commission (CFTC) as well as the Securities and Exchange Commission (SEC), and is a frequent speaker at futures and derivatives industry conferences.
Before entering private practice, Mr. Architzel served as Chief Counsel of the Division of Economic Analysis, now the Division of Market Oversight, at the CFTC for more than 20 years, and was the chief architect of the Core Principle framework for futures market regulation codified by the Commodity Futures Modernization Act of 2000 (CFMA). He also wrote the CFTC’s rules for regulated and exempt markets. Mr. Architzel also spent several years as the in-house chief US regulatory counsel for Eurex Frankfurt AG, a global derivatives/futures exchange and clearinghouse.
Professional Activities
Mr. Architzel is an adjunct professor of law in the Securities and Financial Regulation LLM program at Georgetown University Law Center where he teaches Futures Regulation and the Commodity Exchange Act.
Honors and Awards
Publications
New U.S. Registration Requirements for Foreign Boards of Trade Under Dodd-Frank Act, BNA International World Securities Law Report, September 2010 (with Tara Castillo).
CFTC Clarifies Extent to Which Investors May Trade in Foreign Securities Futures, BNA International World Securities Law Report, July 2010 (with Tara Castillo).
CFTC Approves Final Rules and Rule Amendments to Increase Commission’s Oversight of ECMs, Derivatives: Financial Products Report, May 2009 (with James Antoszewski).
Blueprint for Regulatory Reform; Is a Choice-of-Regulator MOU a Better Interim Solution?, Futures and Derivatives Law Report, June 2008 (with Jason Wynn).
CFTC Reauthorization Strengthens Oversight of Exempt Energy Platforms and Foreign Currency Dealers, Derivatives: Financial Products Report, September 2008 (with Willa Bruckner).
CFTC Adopts New Exchange Governance Requirements, Futures & Derivatives Law Report, March 2007.
CFTC Holds Hearing on U.S. Access to Foreign Exchanges, Futures Industry Magazine, July-August 2006.
Implications of Evolving Forms of Exchange Ownership for their Role as Self-Regulatory Organizations, Futures & Derivatives Law Report, June 2006.
Event Markets Evolve: Legal Certainty Needed, Futures Industry Magazine, March-April 2006.
Principal-to-Principal Trading and Other Off-Market Transactions Under the CFMA; Opportunity and Challenges for U.S. Futures Markets and Intermediaries, Futures and Derivatives Law Report, February 2003 (with Peter Malyshev).
Locating the Futures Exchange and its Regulatory Impact, Journal of Global Financial Markets, Fall 2002 (with Nancy Yanofsky and Michael Riedlinger).
A New Regulatory Framework, Report of the Commodity Futures Trading Commission Staff Task Force (February 2000).
A Framework for Current Issues Regarding Off-exchange Instruments, 2 Commodities Law Letter 2 (April 1987) (with Paula Tosini).
Delivery on Futures Contracts As a Legal Requirement, 36 Business Lawyer 935 (April 1981) (with John Connolly).
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