William Nelson Email & Phone Number

Washington, DC, US

• Responsible for IAA's legislative advocacy
• Develops annual Adviser Advocacy Day program and ongoing grassroots efforts and initiatives
• Serves as Treasurer, IAA PAC and works with PAC Board
• Engage in written and oral advocacy with respect to federal, state, and international laws and regulations affecting SEC-registered investment advisers, with the primary responsibility for ERISA, proxy voting, and ESG.
• Develop and update compliance materials to assist members in understanding and complying with relevant laws and regulations.
• Communicate with members on legal, regulatory, and compliance information and developments, both individually and through written publications.

Washington, DC, US

• Engage in written and oral advocacy with respect to federal, state, and international laws and regulations affecting SEC-registered investment advisers, with the primary responsibility for ERISA, proxy voting, and ESG.
• Develop and update compliance materials to assist members in understanding and complying with relevant laws and regulations.
• Communicate with members on legal, regulatory, and compliance information and developments, both individually and through written publications.
• Organize and participate in educational events, including conferences and webinars.
• Work with member committees and working groups.
• Analyze corporate and other legal matters affecting the association.

Denver, CO, US

Denver, CO, US

Adjunct Professor of Law Teaching Securities Law.

Washington, District Of Columbia, US

Co-Chair of DC Bar’s Corporation, Finance and Securities Law Community’s steering committee. Serve 3,000 members, manage seven subcommittees, and direct outreach and programming.

Washington, D.C., US

In this role, I help support the American Business Law Journal, a premiere, double-blind, peer-reviewed Wiley publication with a global emphasis on #business and #law, to publish original, timely, and impactful works of scholarship at the interdisciplinary frontiers of business and law.

Washington, DC, US

• Assist the General Counsel with the development of standards, including CFP Board’s Code of Ethics and Standards of Conduct, Sanctions Guidelines, Fitness Standards, and Procedural Rules
• Assist the General Counsel with the development of guidance materials concerning CFP Board’s Code of Ethics and Standards of Conduct, including formal guidance materials and responses to individual requests for guidance
• Provides occasional assistance with the adjudication of alleged violations of the Code and Standards, including issuing relevant notices and materials, developing advice to hearing panels and to the Disciplinary and.
• Collaborates with CFP Board’s Continuing Education department to review ethics CE materials for alignment with the Code and Standards
• Provide legal research and writing support for issues pertaining to federal and state regulation of broker-dealers, registered investment advisers, insurance agents and other financial professionals
• Provide assistance with corporate governance matters, Board of Directors meeting materials, and the review of contracts

Denver, Colorado, US

• Served as Chief Compliance Officer for an SEC-registered Investment Adviser with 47 branch offices nationwide, over 450 employees, and $21 Billion Assets Under Management (AUM)
• Served as Legal Adviser to Mercer Global Advisors’ Investment Committee and ERISA Committee
• Served as a Corporate Officer and function as a member of Senior Management
• Redesigned the overall Compliance program, including creation of a comprehensive Compliance Manual and Code of Ethics drafted to assist the firm in preventing, detecting and correcting violations of securities laws and.
• Designed, managed, and implemented an effective compliance testing regimen ensuring compliance with various federal and state regulations which result in mitigating any regulatory risks
• Served as a subject matter expert for the organization on questions concerning regulatory compliance, including interpretations of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of.

Washington, DC, US

• Drove the public policy agenda for an organization that certifies over 76,000 CFP® professionals
• Prepared policy and advocacy documents and written and oral testimony for Congressional committee hearings that are consistent with CFP Board’s core public policy objectives
• Served as a subject matter expert for the organization on questions concerning regulatory compliance, including interpretations of standards of conduct under securities laws and ERISA
• Drafted regulatory comment letters submitted to the Securities Exchange Commission, focusing on implementation of Dodd-Frank rulemakings and regulatory reform efforts, and the Department of Labor, focusing on.
• Drafted amicus briefs for federal court cases in the Northern District of Texas and Fifth Circuit Court of Appeals in support of the Department of Labor’s fiduciary rulemaking
• Managed the direct and grassroots advocacy initiatives conducted by CFP Board before Congress and government agencies

Washington, D.C., US

• Professor of Legal Research and Writing for Foreign-Trained Master of Laws (LL.M.) Students; lecture topics include Legal Research and Writing, Constitutional Law, Civil Procedure, and the U.S. Court System
• My approach to teaching focuses on the construction of knowledge, rather than the absorption of facts. I feel that teaching law is less about the answers themselves than it is about a paradigm for solving problems.
• I employ a modified form of the Socratic method that creates a balance between exposing students to significant areas of law and developing lawyering skills; this approach requires students to grapple with the.

• Drafted over 450 high quality decisions for Veterans Law Judges regarding Veterans’ claims which required legal research and analysis, application of the Code of Federal Regulations and case law, and analysis of.
• Drafted legal opinion requests for VA’s Office of General Counsel requesting guidance on unresolved legal questions for cases before the United States Court of Appeals for Veterans Claims
• Received multiple Board of Veterans’ Appeals Exceptional Achievement Awards for outstanding workmanship in preparing decisions that served as models for addressing multi-issue and complex cases

Washington, US

Oversaw a team of writers submitting articles for publication, addressing topics such as estate planning, taxation, and asset protection; management includes the quality control of articles, topic creation, and pipeline management

• Conducted trial preparation for litigation of claims by Indian tribes alleging the Federal Government failed to properly manage tribal trust funds and did not comply with other inherent and statutory fiduciary duties.

- Prepared portions of legal documents including court pleadings, informal and formal discovery requests, and a range of motions and legal correspondence - Researched and drafted portions of briefs submitted to the Supreme Court of Oklahoma and 10th Circuit Court of Appeals

• Analyzed a variety of sales and construction contracts for specificity and validity
• Assisted In-House Counsel with Sarbanes-Oxley compliance, specifically helped re-write company policy regarding the adequacy of the company’s internal controls over financial reporting
• Researched and drafted legal memoranda regarding domestic and international contract law, specifically issues arising under the Uniform Commercial Code and UN Convention on the International Sale of Goods

• Reviewed case files in preparation for hearings; drafted memoranda, legal documents and case filings

Master Of Laws Degree, International Business/Trade/Commerce

Juris Doctor Degree, Law

Bs, Management Information Systems