Mark Schoeff Jr.
Reporter: Regulatory / SEC / Taxesstaff
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.
Mar 27, 2017
With several agencies patrolling the same beat, advisers and firms can be hit with numerous sanctions for a single infraction
Mar 23, 2017
President Trump's choice to head the Securities and Exchange Commission spent most of his confirmation hearing fending off questions about conflicts
Finra launches '360' initiative to review operations, 'look at ourselves from all perspectives,' says CEO Robert Cook
Mar 22, 2017
Project launches with request for comment on Finra's 'engagement' with its financial-firm members and others
Mar 21, 2017
The president could appoint two independent members or simply leave the vacancies open
Finra's lobbying expenses down, but regulator still spends heavily to make sure its voice is heard on Capitol Hill
Mar 16, 2017
Organization recently hired Capitol Hill veteran to head up its government relations efforts
Financial Planning Coalition: DOL fiduciary rule delay harms investors, violates regulatory requirements
Mar 15, 2017
The coalition of groups representing investment advisers voiced its warning in a comment letter on the delay proposal.
Mar 14, 2017
They face the challenge of asking for the order from the same judge who ruled against every claim in their lawsuit
Mar 13, 2017
The award cited investments made in unspecified energy and housing products
Mar 9, 2017
Sen. Elizabeth Warren says investors are being taken advantage of by brokerage firms, citing a study that determined the industry failed to pay $62 million in claims in 2013