FacultyFaculty/Author Profile

Rochelle K Plesset

US Securities and Exchange Commission
Attorney-Adviser (Securities Ind)
Washington, DC, USA


Rochelle Kauffman Plesset is a Senior Counsel in the Chief Counsel's Office in the SEC’s Division of Investment Management. During her long career at the SEC, Rochelle has been involved in all major aspects of investment company and investment adviser regulation, participating in a variety of rulemaking and interpretive initiatives for the Division. Notably, she drafted rules under the Investment Company Act that address the status of asset-backed issuers and investment advisory programs under that Act, and is currently undertaking a review of interpretive issues relating to real estate investment trusts and other types of mortgage companies. Rochelle was primarily responsible for researching and drafting Chapter 1, The Treatment of Structured Finance under the Investment Company Act, in the Division’s 1992 report, Protecting Investors: A Half Century of Investment Company Act Regulation.  She also participated in the drafting of the staff report, Implications of the Growth of Hedge Funds. More recently, Rochelle was a prime drafter of the Division’s guidance on robo-advisers that was issued this past February.
Rochelle K Plesset is associated with the following items:
Web Segment  Web Segment FinTech: Robo-Advisers - SEC Guidance and Risk Management - FinTech 2017, Thursday, August 17, 2017
MP3 Audio  MP3 Audio FinTech: Robo-Advisers - SEC Guidance and Risk Management - FinTech: Robo-Advisers - SEC Guidance and Risk Management, Thursday, August 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg FinTech: Robo-Advisers - SEC Guidance and Risk Management - FinTech: Robo-Advisers - SEC Guidance and Risk Management, Thursday, August 17, 2017
On-Demand Web Programs  On-Demand Web Programs FinTech 2017, Wednesday, August 23, 2017, New York, NY
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