Norm Champ

• 

  The IAA Compliance Conference, Pt. 1: What to Expect From Your Friends in DC

  By David Tittsworth, IAA  |  March 14, 2013

  At the Investment Adviser Association’s annual compliance conference, a look at the significant legislative, regulatory and policy developments now being pursued and what’s coming next, especially from the SEC.

• 

  SEC’s Champ Outlines ‘IM Moving Ahead’ Initiative

  By Melanie Waddell, AdvisorOne  |  February 23, 2013

  The director of the SEC's Division of Investment Management said Friday that his division had launched an “IM Moving Ahead” initiative to assess where the division had “gaps” and to help the division identify its policy priorities.

• 

  Is 2013 the Year of Actively Managed ETFs?

  By Gil Weinreich, AdvisorOne  |  February 8, 2013

  PIMCO star manager Bill Gross’ bond ETF went from zero to nearly $4 billion in AUM in a matter of months. Will a recent regulatory change add to his competitors?

• 

  SEC Names Grim Deputy Director of Investment Management

  By Melanie Waddell, AdvisorOne  |  January 15, 2013

  David Grim has worked in the division for 17 years, most recently as assistant chief counsel in its Office of Chief Counsel.

• 

  Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up

  By James J. Green, AdvisorOne  |  December 13, 2012

  Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.

• 

  Schapiro’s Senior Advisor, McHugh, Moves Over to Investment Management

  By Melanie Waddell, AdvisorOne  |  December 11, 2012

  One of SEC Chairwoman Mary Schapiro’s senior advisors, Jennifer McHugh, was named as senior advisor to Norm Champ, the director of the SEC’s Division of Investment Management.

• 

  ‘No Timing’ on VA Summary Prospectus: SEC’s Nash

  By Melanie Waddell, AdvisorOne  |  November 1, 2012

  Nash also said she “couldn’t predict” where such a rule proposal falls among the SEC’s priorities.

• 

  SEC Says 1,504 Advisors to Hedge Funds, Private Funds Now SEC-Registered

  By Melanie Waddell, AdvisorOne  |  October 19, 2012

  Including the 2,557 private fund advisors who had registered previously, a total of 4,061 advisors to one or more private funds are now registered with the SEC.

• 

  SEC Names Bowden Deputy Director of Exam Division

  By Melanie Waddell, AdvisorOne  |  September 12, 2012

  The SEC announced Wednesday that Andrew J. Bowden has been named deputy director of the agency’s Office of Compliance Inspections and Examinations (OCIE).

• 

  Plaze to Leave SEC as Cross Joins Agency

  By Melanie Waddell, AdvisorOne  |  August 2, 2012

  The SEC announced Thursday that Robert Plaze, deputy director of the Division of Investment Management, is retiring from public service at the end of August while the SEC has named John J. Cross III the director of the agency’s new Office of Municipal Securities.