Michelle Nelson

About Michelle Nelson

Proactive financial services and securities legal and compliance leader who takes ownership of matters, drives for results, and provides significant value to my clients, colleagues and organization. As a positive, solution-oriented attorney, I partner and collaborate with clients and colleagues to solve problems and successfully move matters forward to completion.

Experience

1. Vice President and Managing Legal Counsel

   T. Rowe Price

   Nov 2019 — Present · Baltimore, MD, US

   I serve as the lead retail investment advisory attorney for T. Rowe Price Advisory Services, Inc, an SEC-registered investment adviser. I also support the enterprise\'s retail brokerage business, T. Rowe Price Investment Services, Inc, a registered broker-dealer. In my legal role, I serve as a member of the Individual Investors Advice Operating Lead Team and support governance committees overseeing the retail advisory business. I provide legal advice and advise on risk in the development and launch of new programs, services and educational tools, legal disclosures and documents, including Form ADV, Form CRS and client agreements, marketing materials, and compliance and supervisory policies and procedures.

Education

• University of Wisconsin Law School

  J.D., Law

• Lawrence University

  B.A., cum laude, Government and Slavic Languages and Literature

Skills

• Licensing
• Securities
• Legal Research
• Employment Law
• Dodd-Frank
• Securities Regulation
• Banking Law
• Corporate Governance
• Finra
• Compliance
• Broker-Dealer Compliance
• Investment Compliance
• Registration
• Corporate Law
• Securities Offerings
• Legal Writing
• Risk Management
• Investment Advisor Compliance
• Investment Advisers Act
• Securities Exchange Act of 1934
• Investment Companies
• Project Management
• Investment Advisory Services
• Mutual Funds
• Investment Advisory
• Finance