Robert Plaze

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  SEC Names Blizzard to Head Investment Advisor Regulation

  By Melanie Waddell, AdvisorOne  |  April 23, 2012

  The SEC has named Diane Blizzard associate director for regulatory policy and investment adviser regulation in the Division of Investment Management, replacing Robert Plaze.

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  Are RIAs Really a Bigger Regulatory Problem Than Brokers?

  By Bob Clark, AdvisorOne  |  March 20, 2012

  A look at the number of enforcement actions against each group provides a ready answer: part two of a series on the Bizarro World inside the beltway

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  SEC Adds 130 Examiners for ‘Priority’ Areas: Exam Chief di Florio

  By Melanie Waddell, AdvisorOne  |  March 15, 2012

  Carlo di Florio, director of OCIE, told CCOs that the SEC has hired 130 new examiners over the last 18 months and that the agency is focusing on three 'priority' areas when it comes to advisory firms.

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  SEC, Congress Tussle Over Private Fund Advisor Registration

  By Melanie Waddell, AdvisorOne  |  March 9, 2012

  SEC Commissioner Daniel Gallagher told chief compliance officers on Thursday that he sees cases where the securities regulator can grant exemptive relief for private fund advisors that must register with the agency as mandated by Dodd-Frank.

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  SEC, Industry Experts Issue Stern Warnings to CCOs

  By Melanie Waddell, AdvisorOne  |  March 8, 2012

  Chief compliance officers received a number of stern warnings on Thursday during the Investment Adviser Association’s annual compliance conference just outside Washington.

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  Municipal Advisors Rule Still in Flux

  By Marlene Y. Satter, AdvisorOne  |  February 10, 2012

  Those looking for guidance on how to proceed regarding the new rule requiring registration of municipal advisors will have a bit longer to wait.

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  Wheels of Progress Turn Slowly in 'Switching' of Advisors

  By David Massey, NASAA  |  May 16, 2011

• SEC to Meet Dodd-Frank’s July Deadline on ‘Switch,’ Private Fund, Venture Fund Advisors

  By Melanie Waddell, AdvisorOne  |  May 1, 2011

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  SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors

  By Melanie Waddell, AdvisorOne  |  May 1, 2011

  The SEC says that while it will adopt final rules by July 21 implementing three provisions of Dodd-Frank involving the “switching” of advisors to state registration, as well as private fund and venture capital fund advisors’ registration with the SEC, the agency will also lengthen the date for complying with...

• Policing Hedge Funds

  By Melanie Waddell, AdvisorOne  |  July 11, 2007

  To restore the SEC's enforcement power in policing hedge funds post the Goldstein ruling, the SEC on July 11 adopted a new antifraud rule under...