The Catholic University of America

Securities Law Program Website

"Everything You Need to Know About

Money Market Funds. . .and the Role They Play

in the Complex World of Financial Markets"

 

Robert E. Plaze

Associate Director for Regulation
Division of Investment Management
U.S. Securities and Exchange Commission

Robert Plaze is Associate Director for Regulation of the Division of Investment Management of the U.S. Securities and Exchange Commission. Mr. Plaze's responsibilities include the development of policy and rulemaking under the Investment Company and Investment Advisers Acts. Most recently, these responsibilities have included the development of the Commission's rules regarding funds of funds,
redemption fees, hedge fund advisers, compliance programs, and amendments to rule 12b-1
prohibiting fund advisers from directing fund trades to compensate brokers for selling efforts.

Mr. Plaze has been a member of the Commission staff for the past 23 years during which he has held several positions of responsibility in the Division. He holds an A.B. (1978) and J.D. (1983) from Georgetown University and is a member of the District of Columbia Bar.

Monday, September 14th

5:10 to 6 p.m.

Walter A. Slowinski Courtroom

Columbus School of Law 3600 John McCormack Road, NE Washington, D.C. 20064
Conveniently located one block from the Brookland-CUA Metro Stop on the Red Line

Light reception to follow

Sponsored by the Securities Law Program and
the Securities Law Students Association