Subscribe

Mark Schoeff Jr.

Mark Schoeff Jr. is a senior reporter at InvestmentNews. Based in Washington, D.C., he covers legislation and regulations affecting retail investment advisers and brokers. Prior to joining InvestmentNews in 2010, he wrote about employment and labor law for Workforce Management, a magazine that was published at the time by Crain Communications. He is a member of the National Press Club board. Before migrating to the editorial side of the journalism ecosystem, he served as press secretary for the late Sen. Richard Lugar of Indiana and as director of external relations for the Center for Strategic and International Studies, a think tank in Washington. In a region where people keep their hometown loyalties intact, he has lived in the Washington area long enough to become an actual fan of the Nationals, Wizards, Capitals and the Washington Football Team. He earned a bachelor’s degree from Purdue University and a master’s degree from George Mason University.

Displaying 3395 results

Topic

Finra ‘looks forward’ to defending enforcement authority in court

A brokerage and a rep, both targets of Finra disciplinary actions, have filed suits questioning the regulator’s constitutionality.

Topic

Advisors must document annual compliance review in writing under new SEC rule

The provision was buried on page 302 of a rule focused on private-fund advisors. The SEC also reopened the comment period on its advisor custody proposal.

Topic

SEC adopts rules to boost oversight of private-fund advisors

Quarterly reporting and an annual audit 'could eat into returns and be borne by investors.'

Topic

Arbitrators order Morgan Stanley to pay senior investor $1.8M

A broker in the firm's Garden City, New York, office put way too much WisdomTree stock in his aunt's portfolio.

Topic

Titan hit with $1 million penalty in ‘perfect compliance cocktail’

Compliance experts have their say after SEC's first enforcement action based on new marketing rule highlights dangers of hypothetical-performance ads.

Topic

Tsunami of new rules bears down on advisors

With the SEC preparing to approve a number of major proposals next year, firms face added costs and a huge amount of compliance work.

Topic

SEC races clock to keep rules out of congressional kill zone

Regulations that go final during the summer or later in an election year can be vulnerable to a procedure that lets the new Congress disapprove rules approved during the previous Congress.

Topic

‘Personal affinity’ spurs advisor to help Maui wildfire recovery

A Wealthspire advisor launches campaign that has so far raised $30,000 for the island.

Topic

Finra arbitrators order former advisor to pay $664,901 for unsuitable options strategy

Alabama-based advisor denies he did anything wrong in a statement on his IAPD profile.

Topic

Massachusetts tax could hit one-off millionaires but advisors keep levy in perspective

'Most voters didn't realize the millionaires tax included one-time sudden windfalls like the sale of a home,' one advisor says.