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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

Handcuffed by marketing inertia? 

As the SEC marketing rule nears its first anniversary, most firms have yet to take advantage of the testimonials and endorsements it allows.

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SEC exam sweep short but not sweet 

Instead of generating anxiety among advisors, sweep contains no hidden surprises, says compliance expert.

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XY Planning’s smaller advisors envy larger firms’ marketing latitude

'We see a lot of angst from advisors that are frustrated that the federal [SEC] firms get to' use client testimonials and reviews in advertising 'but they can’t do it in their state,' says XYPN co-founder Michael Kitces.

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Political clock ticks as Labor readies next version of fiduciary rule

The measure is likely to make a rollover recommendation a fiduciary act. But if the agency doesn't complete the measure soon, it's vulnerable to being overturned by the next Congress and White House.

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SEC expands rule to ensure fund portfolios match their names

The final regulation targets 'greenwashing' but strips out what would have been 'a more onerous' ESG provision, a lawyer says.

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Bipartisan House members press SEC official to drop mutual fund reform proposal

Lawmakers say changes would hurt retirement investors. They also raise concerns about a proposal to curb advisor conflicts related to AI.

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SEC regulations give ‘short shrift’ to potential cost for small advisors

Investment Adviser Association files petition pushing agency to make number of staff, not AUM, the deciding factor in defining a firm as 'small.'

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State regulators continue to oppose Finra remote supervision pilot program

Over nearly three years 'our branch examiners have refined their skills and become very adept at identifying risk remotely,' insists LPL Financial.

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New leader of state regulators places emphasis on ‘risky’ digital assets

Hodgepodge of different regulations needs addressing, says securities lawyer.

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SEC Chair Gensler fires back at GOP critics

Leader accused of proposing regulations that are ‘sowing discord and confusion.'