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Robert E. Plaze

Robert E. Plaze

Stroock & Stroock & Lavan LLP

Washington, DC, USA


Robert E. Plaze is a partner in the Washington office of Stroock & Stroock & Lavan LLP.  Mr. Plaze counsels investment advisers, investment companies (and their boards of directors) and other industry service providers on regulatory and compliance matters arising under the federal securities laws. Before joining Stroock, he served as Deputy Director of the Division of Investment Management of the U.S. Securities and Exchange Commission. During his nearly 30 years of service with the Commission, Mr. Plaze was responsible for policy development and management of many of the key regulatory initiatives during that period affecting investment companies and investment advisers under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, including rules governing fund and adviser compliance programs, money market funds, fund corporate governance, personal trading, custody and brokerage practices, and prohibitions on “pay to play” practices.

Mr. Plaze is a member of the District of Columbia Bar Association, and serves as Chairman of its Investment Management Committee.  His listed in The Best Lawyers in America.  Mr. Plaze received both his AB and JD degrees from Georgetown University.

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