Nicole represents securities and commodities professionals in a variety of regulatory, compliance and corporate matters. She has extensive experience with respect to hedge funds, commodity pools, private equity funds, cryptocurrency funds, venture capital funds, real estate funds, fund of funds and socially responsible investment vehicles. Nicole provides legal and compliance guidance to registered and exempt investment advisers, commodity pool operators (CPOs), commodity trading advisors (CTAs), introducing brokers (IBs), forex (FX) firms, proprietary trading firms, futures commission merchants (FCMs) and broker-dealers (BDs). Nicole provides legal and compliance guidance concerning the launch of securities token offerings (STOs), i.e., compliant initial coin offerings (ICOs). She also serves as counsel to boards, mutual funds and exchange-traded funds (ETFs).
Nicole drafts and develops offering documents, compliance manuals, policies and procedures, corporate materials, business contracts, investment agreements and advertising materials. She also provides legal and structuring guidance concerning master-feeder structures, domestic and foreign funds, international offerings, separately managed accounts and robo-adviser platforms.
Nicole is a Founder of the Investment Network and the Digital Assets Working Group, and is the Director of the Washington D.C. Compliance Roundtable. Nicole was selected as a Super Lawyers Rising Star in 2016, 2017, 2018 and 2019.
The SEC has proposed significant amendments to its adviser advertising and solicitation rules, as well as related amendments to its books and records rule and the Form ADV. The proposal marks a drastic departure from the SECs current prescriptive app...