Sharon Carroll represents clients regulated by the U.S. Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), and other federal and state regulators, in connection with a variety of regulatory, enforcement and compliance matters. She regularly counsels clients on the complex laws and regulations governing the foreign exchange, commodities and derivatives markets including the Commodity Exchange Act and the Dodd-Frank Act as well as NFA rules and requirements. She also represents clients in regulatory and enforcement matters before the CFTC and NFA. Ms. Carroll assists clients with the preparation and maintenance of regulatory policies and procedures that must meet the stringent requirements of the CFTC and NFA. She also advises Swap Dealers and Major Swap Participants on clearing and trading requirements, position limits, and other regulatory matters of concern to these new entities. Ms. Carroll also prepares transactional documents for diverse client projects and is involved in the formation and registration of various financial entities.
Ms. Carroll assisted the CFTC in investigating and prosecuting enforcement matters in federal courts. She was also a research assistant for the Center for International Law at New York Law School. While with the Center, she researched and wrote articles for the Center’s academic newsletter, The International Review, on various issues in international and comparative law such as the challenges facing foreign direct investments in developing countries. Prior to law school, she worked as a paralegal at Cleary, Gottlieb, Steen & Hamilton LLP, where she assisted with securities litigation and enforcement matters.