BEKKER COMPLIANCE CONSULTING PARTNERS, LLC
19360 Rinaldi Street, Suite 453
Porter Ranch, CA 91326
Phone: 818/836-1291 ● Fax: 480/393-4944
www.bccp-llc.com ● pchepucavage@bccp-llc.com
Compliance Consultants Located Nationwide!
CONSULTANT PROFILE
PETER J. CHEPUCAVAGE
SENIOR COMPLIANCE CONSULTANT
PROFESSIONAL EXPERIENCE
Independent Consultant
May 2007 to Present
As an Independent Consultant, Peter Chepucavage, is also a Senior Compliance Consultant with Bekker
Compliance Consulting Partners, LLC (BCCP) and provides offsite and onsite regulatory compliance
consulting services.
Plexus Compliance Consulting, LLC
June 2005 to Present
General Counsel
Director of Compliance Consulting
Plexus offers consulting services for broker-dealers and hedge funds in addition to its primary business of
Association consulting and foreign government consulting.
Securities and Exchange Commission
November 2001 to February 2005
Attorney Fellow
Worked primarily in the business continuity and Regulation SHO areas. I was involved in the drafting of
Regulation SHO and the Married Puts release. Also involved in numerous Regulation M enforcement cases
and securities futures.
Fulbright & Jaworski
January 1998 to July 2001
Counsel
Practice was devoted primarily to the representation of broker-dealers and investment advisers including
hedge funds in both law and derivatives. Fulbright's Financial Institutions Practice Group in New York
provides a broad range of services with an emphasis on representation of foreign and domestic brokerdealers, investment advisers and investment companies. The office regularly counsels a dozen broker-dealers
including specialists, day trading firms, clearing firms, a stock exchange and at least 15 investment advisory
firms, six registered investment companies and over 25 domestic and offshore private investment funds.
BEKKER COMPLIANCE CONSULTING PARTNERS, LLC
CONSULTANT PROFILE (cont’d)
Nomura
July 1984 to November 1997
Managing Director
General Counsel
Corporate Secretary
"Nomura" is the U.S. subsidiary of Japan's largest Broker-Dealer. As its first General Counsel, I was involved
in counseling the firm on broker-dealer and investment advisor compliance, "Government Securities" trading,
corporate finance, derivatives, general corporate matters and litigation. I also had responsibility for the
Internal Audit and Compliance departments with total personnel of 50 people. In addition, I assisted the
firm in the development of an International Investment Company and a number of Country Funds. I also
helped develop and counseled the firm's Credit Committee, New Products Committee and Management
Committee and was Chief legal Officer of its derivatives affiliate.
National Association of Securities Dealers, Inc.
September 1975 to June 1984
Assistant General Counsel
Duties included Broker-Dealer Regulation, Appellate work before the S.E.C. and Federal Courts, General
Corporate work and some Legislative Analysis. Supervisory responsibility included the scheduling and
administration of Board of Governors appeals and other matters.
Judge George R. Gallagher, D.C. Court of Appeals
Law Clerk
U.S. Army 1st Bn., 9th Inf. 2nd Infantry Division
Infantry Officer
August 1974 to August 1975
September 1969 to August 1971
MEMBERSHIPS
Public Company Management Corporation
Member Corporate Advisory Board
June 2005 to Present
International Association of Small Broker-Dealers and Advisers
Founder
EDUCATION
LLM Administrative/Securities Law--George Washington University School of Law J. D., October 1980
B.S. Economics and Philosophy
The Catholic University of America School of Law, Top 10% of class/Law Review. June 1974
University of Scranton, Scranton, Pennsylvania, 1969
PUBLICATIONS
Short Sales and Security Futures; The Need For Comprehensive Short Sale Regulation, Futures &
Derivatives
Fall 2001
Law Report
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BEKKER COMPLIANCE CONSULTING PARTNERS, LLC
CONSULTANT PROFILE (cont’d)
Analyst Disclosure: Are New Regulations Really Necessary?
NSCP Currents
May/June 2001
The Remote Supervisor
NSCP East Coast Regional Meeting
May 2001
Questions and Answers on Analyst Disclosure
NSCP Currents
March/April 2001
The Law Surrounding Commodity Trading Advisor Registration For Investment Advisers
January/February 2001, NSCP Currents, ,p.3
IA Drafting Tips: Avoiding Trading Conflicts of Interests for Investment Managers
January/February 2000, NSCP Currents, p. 7
Sale of Foreign Products in the United States
NSCP National Meeting
October 1998
Self-Regulation in a National Market Environment
13 Securities Regulation L. Rev. 313
1981
Your Friendly One-Stop Financial Shopping Center
American Bar Association Journal, p. 744
June 1974
Book Review of the Sovereign State of ITT by Anthony Sampson
American Bar Association Journal, p. 398
April 1974
S.E.C. Puts New Gloss on Professional Responsibility
American Bar Association Journal, p. 1330
November 1973
The SEC and the Securities Bar: Adversaries or Allies
Catholic University Law Review
Fall 1973
PROFESSIONAL ASSOCIATIONS
Securities Industry Association Compliance and Legal Division Executive Committee
1993 to 1997
Association of the Bar of the City of New York Committee on Securities Regulation
1991 to 1993
Securities Industry Association Self Regulation and Supervisory Practices Committee
1992 to 1994
National Society of Compliance Professionals Member of Board of Directors
1989 to 1990
Securities Industry Association Federal Regulation Committee
1987 to 1989
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