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Mark Schoeff Jr.

Reporter: Regulatory / SEC / Taxes

Mark Schoeff Jr.http://www.investmentnews.com/apps/pbcsi.dll/persbilde?Avis=CI&ID=MSCHOEFF&maxw=220&cci_ts=20170623011316

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


SEC Chairman Jay Clayton says agency initiatives would help investors research advisers' backgrounds

Jun 22, 2017

He doesn't provide details, but says that he shares SEC Investor Advisory Committee's desire to help older investors know their advisers

FInra regulation - main

Finra engages in rulemaking by enforcement: financial industry groups

Jun 21, 2017

FSI and SIFMA criticize broker-dealer regulator for creating standards based on settlements


CFPs, including brokers, may have to adhere to a stricter fiduciary duty

Jun 20, 2017

CFP Board revises its standards and aims to beef up fiduciary requirements of certificants


CFP Board's proposal to expand fiduciary duty draws praise, carries risks

Jun 20, 2017

Some question whether brokers will drop the CFP mark or if the CFP Board will strictly enforce its new standard


New Nevada law imposes fiduciary duty on brokers

Jun 16, 2017

The measure, effective July 1, requires advisers to disclose any "profit or commission" they receive and make a "diligent inquiry" about a client's financial condition and goals


Treasury calls on financial regulators to coordinate cybersecurity oversight

Jun 14, 2017

Highlighting 'fragmentation and overlap,' department suggests establishing one lead agency to align federal and state efforts


State insurance regulators look to DOL fiduciary rule as they mull changes to annuity sales standard

Jun 13, 2017

The National Association of Insurance Commissioners is taking a fresh look at the suitability standard for annuities and considering making it a best-interests standard


Finra CEO Robert Cook promises to give brokerages more guidance on overseeing rogue brokers

Jun 12, 2017

Initiative is part of an effort to crack down on brokers who move from firm to firm and put investors at risk


Finra charges former Morgan Stanley broker with misleading client about account size

Jun 12, 2017

Kim Dee Isaacson also allegedly made unauthorized trades in the 71-year-old client's account


Finra CEO Robert Cook keeps low profile — for now

Jun 10, 2017

While some give him high marks for his willingness to listen, other say it's time he put what he's heard into action

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