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Mark Schoeff Jr.

Reporter: Regulatory / SEC / Taxes

Mark Schoeff Jr.

Mark Schoeff Jr. covers Capitol Hill and regulatory agencies for InvestmentNews. A former Senate aide, he’s seen firsthand the best and worst of Washington since the end of the Bush 41 administration. An Indiana native, he’s a victim of capture himself — by the capital’s sport teams — becoming a Nationals, Wizards and Skins fan.

Recent Articles

Big data becomes a sharp weapon for regulators

Dec 21, 2014

Regulators are using troves of digital information to monitor broker-dealers

CFP Board head of enforcement leaves in midst of compensation-definition disputes

Dec 19, 2014

With no replacement named, it is unclear what Michael Shaw's departure will mean for board strategy

Cuba's move toward capitalism may accelerate

Dec 18, 2014

My trip to the island nation produced some memorable insights into the country's future

FSI to fight rollout of auto IRAs

Dec 17, 2014

Independent broker-dealer group says automatic retirement savings plans pose competition to financial advisers

SEC's White defends coverage of investment advisers

Dec 17, 2014

Chairwoman says agency is considering augmenting adviser exams with third-party audits

National insurance registry falls short of goal line, tax extenders passes

Dec 17, 2014

With Congress adjourned, rejected bills, such as one facilitating insurance agents' ability to practice in multiple states, will need to be reintroduced next year

Senate set to approve national insurance-agent registry

Dec 16, 2014

Though new board has wide support among state regulators, GOP senator cries foul over infringement of states' rights

Powerful GOP senator to defend retirement tax incentives

Dec 15, 2014

Incoming Senate finance chairman Orrin Hatch says retirement vehicles are the 'greatest wealth creator' for the middle class, and shouldn't be part of tax reform

Will the SEC use its extra funding to strengthen adviser oversight?

Dec 12, 2014

Future credibility with Congress could be hurt if some of the money isn't used to hire more examiners

SEC works on rule requiring practice transition plans

Dec 11, 2014

The regulator wants advisers to develop continuity plans to avoid major disruptions to clients and markets

After Dodd-Frank, SEC relying more on own judges

Dec 10, 2014

Regulator claims practice is more efficient, but lawyers say it puts defendants at a disadvantage

Congress set to pass bill giving SEC a budget boost, leaving DOL fiduciary rule alone

Dec 10, 2014

Amendment allowing cuts to pension benefits also in play

After hearing from member firms, Finra considers revising communications, gift rules

Dec 9, 2014

Broker-dealer regulator promises to modify rules after survey identifies 'pain points'

Financial planning issues wrapped into government spending bill?

Dec 8, 2014

Two issues of broad concern to advisers — fiduciary duty and pension cuts — might make their way into the appropriations bill Congress is expected to pass this week

Indianapolis: A 'big little town'

Dec 7, 2014

Boasting many of the amenities of a major metropolis, the city still maintains conservative values

Ketchum: What this industry is missing when it comes to CARDS

Dec 5, 2014

Finra aims to promote the investor-protection benefits of the massive data-collection system as SIFMA fights it

Key House Republicans bash SEC exam user fee idea

Dec 3, 2014

Legislation that would have RIAs pay for exams all but dead

Congress poised to pass tax-extender extender, extending advisers' frustration

Dec 2, 2014

House is expected to vote Wednesday on legislation that would extend retroactively for one year an assortment of individual and business tax breaks

SIFMA invokes fear of cyberterrorists in plea to fold CARDS

Dec 1, 2014

Major Wall Street interest group cites cost, regulatory creep and impact on civil liberties in attack on Finra's data-gathering proposal

FSI warns of 'false positives' under CARDS

Dec 1, 2014

IBD organization expresses suitability concerns with regulator's proposed data-collection system and predicts cost of $250,000 to $1 million — with ongoing maintenance above that