Robert Plaze

• 

  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...

• States' Rights

  By Melanie Waddell, AdvisorOne  |  March 1, 2007

  As part of a multi-pronged legislative agenda for 2007, state securities regulators plan to lobby hard to have equity-indexed annuities defined as securities, ensure the...

• Piling On

  By Melanie Waddell, AdvisorOne  |  March 1, 2006

  Ask any advisor what their biggest bugaboo is these days and they're sure to utter one word: compliance. Over the past few years, the SEC...