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Mark Schoeff Jr.

Reporter: Regulatory / SEC / Taxes

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Mark Schoeff Jr.http://www.investmentnews.com/apps/pbcsi.dll/persbilde?Avis=CI&ID=MSCHOEFF&maxw=220&cci_ts=20170118172202

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

CFP Board gets nod in Labor Department's investor fiduciary FAQs

Jan 17, 2017

DOL says it promoted tools it found useful, including a link for finding local CFPs, but is open to hearing from other designation sponsors

Robert W. Baird & Co. must pony up $23.5 million to Wells Fargo in raiding case

Jan 17, 2017

Size of award called "extraordinarily rare" by one securities attorney

As Donald Trump takes office, watch for action on these adviser issues

Jan 15, 2017

The elephant in the room is the Labor Department's fiduciary rule, but other areas include broad health care and tax reform

DOL encourages investors to ask advisers if they are fiduciaries

Jan 13, 2017

Agency provides a litany of questions for consumers as well as FAQs on technical compliance for advisers

Chamber of Commerce calls on Trump to delay DOL fiduciary rule

Jan 11, 2017

The business interest group would like the new administration to halt and then replace the regulation that requires advisers act in the best interests of clients in retirement accounts

New Finra head Robert Cook wants to publish exam result summaries

Jan 10, 2017

CEO says he got the idea by talking to firms during a "listening tour" shortly after taking over the reins of the securities industry regulator

Adviser barred from industry, must pay $577K for concealing referral fee

Jan 9, 2017

Connecticut adviser John W. Rafal obtained a new client with accounts in excess of $100 million, and agreed to pay the referring attorney $50,000 annually from the advisory fees paid, according to the SEC

House bills would put brakes on SEC, other regulators

Jan 9, 2017

Republicans have put regulatory reform — and rolling back Obama administration rules — at the top of their agenda in the new session of Congress

Finra targets firms hiring brokers with checkered pasts

Jan 6, 2017

The regulator makes it a top priority for 2017, establishing an exam unit to ferret out rogue brokers and scrutinizing how firms supervise them

Jay Clayton, SEC chairman nominee, likely to shift focus away from rulemaking, enforcement

Jan 4, 2017

Mr. Clayton would replace current SEC Chairman Mary Jo White, who will step down when Mr. Trump is inaugurated on Jan. 20.

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