Robert Plaze

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  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.

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  SEC’s Plaze Defends Need for Money-Market Fund Reforms

  By Melanie Waddell, AdvisorOne  |  June 19, 2012

  Money-market fund reform “is one of the areas of unfinished businesses” leftover from the 2008 financial crisis, Robert PLaze told mutual fund directors at their annual policy conference.

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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