Nicole Marie Kuchera

Nicole M. Kuchera is an Associate at Vedder Price and a member of the Investment Services group in the firm’s Chicago office.

 

Ms. Kuchera counsels commodities, securities and derivatives professionals, such as hedge funds, investment advisers, commodity pool operators (CPOs), commodity trading advisors (CTAs), futures commission merchants (FCMs), retail foreign exchange dealers (RFEDs), introducing brokers (IBs), swap dealers (SDs), forex (FX) firms, proprietary trading firms, binary options trading firms and broker-dealers (BDs), in day-to-day legal matters. She also drafts private disclosure documents, subscription materials, compliance manuals, corporate documents, contracts/trade agreements and advertising materials; conducts and oversees blue sky due diligence, filings and rescissions; and provides guidance concerning master-feeder structures, domestic and foreign funds, and international offerings.

 

Ms. Kuchera assists financial services firms with regulatory compliance and audits, licensing, corporate drafting, business negotiations, industry registrations and the development of firmwide policies and procedures. She prepares no-action letters and responds to Wells notices and notices of intent to deny, suspend or restrict registration. Ms. Kuchera also counsels clients in National Futures Association (NFA), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), U.S. Securities and Exchange Commission (SEC), Environmental Protection Agency (EPA), exchange and state compliance matters.

 

Ms. Kuchera currently holds Series 3 (futures and commodities), Series 34 (foreign currency) and Series 30 (branch office manager) licenses.