About Stephen R. Morris
With deep experience as in-house counsel at a leading multinational financial institution and as a trial attorney with the Commodity Futures Trading Commission (CFTC), Stephen Morris understands the business goals of his clients and the regulatory challenges they face.
Counsel rooted in regulatory and financial institution experience
The regulatory environment surrounding futures and derivatives is constantly evolving. Stephen is well-versed in this sector and is a trusted advisor to clients with needs ranging from routine documentation matters to regulatory investigations and enforcement issues. As a senior in-house coverage attorney for the institutional listed derivatives and clearing business of a top-tier broker-dealer/futures commission merchant (FCM), with over 14 years' experience in that role, he has deep experience with all aspects of the law and regulation governing the execution and clearing of futures, equity options and cleared swaps.
Practice Focus
- Futures, equity options and cleared swaps regulation
- Broker-dealer regulation
- CFTC-related investigations and enforcement actions
- FCM compliance manual and compliance notice development and review
- Cryptocurrency and digital asset regulatory compliance
News
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April 8, 2022
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April 4, 2022
Publications
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2022The Lawyer as a Friend: An Aristotelian Inquiry | Journal of the Legal Profession
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2000Socratic Perspectives on American Constitutionalism | Stanford Agora
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1998For Strangers, Unborn Babes, Uncreated Worlds: The Mission of Malcolm X | Flames of Fire: Black Religious Leadership From the Slave Community to the Million Man March
Presentations and Events
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June 29, 2022
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April 27–29, 2022
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2012–2016, 2020–2022FIA Legal & Compliance ConferencePanelist, Moderator
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2014ABA Futures and Derivatives Committee ConferencePanel Chair