Rochelle Kauffman Plesset
About Rochelle Kauffman Plesset
Rochelle Kauffman Plesset serves as Senior Counsel in the Chief Counsel's Office of the Division of Investment Management at the U.S. Securities and Exchange Commission, where she has worked since 1994. She specializes in developing guidance and rules related to the Investment Company Act and provides internal counsel on complex regulatory issues.
Current Role at U.S. Securities and Exchange Commission
Rochelle Kauffman Plesset serves as Senior Counsel in the Chief Counsel's Office within the Division of Investment Management at the U.S. Securities and Exchange Commission (SEC). She has held this position since 1994, accumulating over 30 years of experience in this role. In her capacity, she is responsible for providing internal guidance to SEC staff on complex issues related to the Investment Company Act and the Investment Advisers Act.
Previous Experience at U.S. Securities and Exchange Commission
Prior to her current role, Rochelle Kauffman Plesset worked as Senior Counsel in the Office of Regulatory Policy within the Division of Investment Management at the SEC from 1987 to 1994. During this seven-year tenure, she contributed to the development of regulatory policies and frameworks that govern investment management practices.
Education and Expertise
Rochelle Kauffman Plesset earned her Doctor of Law (JD) degree from Vanderbilt Law School, where she studied from 1982 to 1985. She also holds a Bachelor of Arts degree, magna cum laude with Distinction in History, from the University of Pennsylvania, which she completed from 1978 to 1982. Her academic background supports her expertise in status issues under the Investment Company Act, particularly concerning special purpose acquisition companies and mortgage REITs.
Contributions to Investment Company Act
In her role at the SEC, Rochelle Kauffman Plesset has been involved in developing and drafting guidance, rules, and reports for public issuance related to the Investment Company Act. Her work plays a significant role in shaping the regulatory landscape for investment management and ensuring compliance with federal laws.