Robert E. Plaze is Deputy Director of the Division of Investment Management of the U.S. Securities and Exchange Commission. The Division is responsible for administering the securities laws regulating America's $43 trillion investment management industry, including mutual funds, money market funds, exchange-traded funds, and advisers to institutional clients (such as pension funds and hedge funds) as well as individual clients. More specifically, on behalf of the Commission, the Division administers the Investment Company Act and the Investment Advisers Act of 1940.
Mr. Plaze has been a member of the Commission staff for 28 years during which he has held positions of significant responsibility. Most recently he has been responsible for preparing rules implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act affecting money managers, and amendments to rules governing the operation of money market funds. Mr. Plaze holds an AB (1978) and JD (1983) from Georgetown University and is a member of the District of Columbia Bar.