Results for "Mark Schoeff Jr."

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Investors, don't lose sleep over the midterm elections

October 20, 2018

The early October jolt of stock market volatility seemed to awaken investors briefly from a relative sense of calm and reminded us that pullbacks and downside risk are part of the price to be paid for upside performance. Despite just about every...

Two financial advisers running for Congress

October 19, 2018

Few lawmakers on Capitol Hill have backgrounds in the financial advice sector, but next month's midterm elections could add two more. Voters in Pennsylvania could send the first certified financial planner to Congress. In Maryland, the chief...

DOL likely to address fiduciary rule again next year

October 18, 2018

The Labor Department has signaled it will address by next fall unfinished business surrounding its investment-advice rule that was killed by a federal court earlier this year. The agency released a regulatory agenda on Thursday that indicates...

SEC commissioner Stein suggests Congress address differing broker, adviser standards

October 16, 2018

Securities and Exchange Commission member Kara Stein said Tuesday that Congress may have to get involved in raising investment advice standards. The Democratic commissioner suggested amending securities laws that allow brokers to provide advice...

New Jersey releases uniform fiduciary standard pre-proposal, seeks comments

October 15, 2018

New Jersey released a request for public comment Monday on what could become a proposal to raise investment advice requirements for brokers. The state's Bureau of Securities issued what it called a notice of pre-proposal that would subject brokers,...

Divided we stand: How financial advisers view President Trump

October 13, 2018

Like most of the rest of the country, financial advisers are divided in their views of President Donald J. Trump. In his first two years, Mr. Trump has inspired both fierce loyalty and withering opposition among Americans for the way he's conducted...

The midterm elections: What's at stake for financial advisers

October 13, 2018

As voters head to the polls in three weeks, the fate of many issues affecting financial advisers will hang on the outcome. If Democrats gain control of the House of Representatives in November's midterm elections — as is widely predicted —...

Finra arbitration panel orders Credit Suisse to pay former broker $844,621

October 12, 2018

A Finra arbitration panel awarded $844,621 to a broker who sought deferred compensation from Credit Suisse related to the firm's shutdown of its brokerage operation three years ago. The Financial Industry Regulatory Authority Inc. arbitrators...

Broker with more than 50 years experience booted for not cooperating with Finra probe

October 12, 2018

A former broker with more than five decades of experience has been booted from the profession for not cooperating with a Finra investigation. John Halsey Buck III agreed to an industry bar in an Oct. 11 settlement letter for failing to provide...

The biggest hurdle advisers will face after the midterm elections

October 12, 2018

Managing editor Christina Nelson and senior reporter Mark Schoeff Jr. discuss the turnover in Congress demanding a significant reeducation of legislators about the advice profession.

7 ways states got tough with unregistered individuals and firms in 2017

October 11, 2018

State securities regulators stepped up their enforcement actions against unregistered individuals and firms in 2017, spurred in part by the rising number of digital currency frauds. A new report from the North American Securities Administrators...

State regulators brought hammer down on unregistered advisers more than registered ones in 2017

October 10, 2018

State securities regulators brought more enforcement actions in 2017 against unregistered financial advisers than against those who were registered, an indication in part of the rising number of digital currency fraud cases. In its 2018 enforcement...

New Jersey could be first in fiduciary 'blue wave' with pending proposal

October 9, 2018

A calm surface on the waters of investment advice reform is about to be broken by what could be the beginning of a fiduciary blue wave at the state level. Next Monday, the New Jersey Bureau of Securities is expected to release for public comment...

Brokerage exec pushes to get audit bill approved before Congress adjourns

October 8, 2018

Many trade associations representing financial advisers have put a major emphasis on their Capitol Hill Days, during which they meet with lawmakers and their aides to raise awareness about the industry and push for legislation. But for one brokerage...

New NASAA president Michael Pieciak puts cybersecurity at top of agenda

October 5, 2018

It's often the smallest investment advisory firms that are the most vulnerable to online threats, and that's why it's natural for rule-making to start at the state level, according to a top state regulator. The North American Securities Administrators...

PIABA: Finra proposal to ease oversight of brokers' outside activities would spur selling away

October 4, 2018

A Finra proposal to ease requirements for brokerages' oversight of their registered representatives' work outside the firm will create a regulatory "black hole" and lead to more investor rip-offs, according to new report from securities attorneys....

Schwab report shows strong growth of SEC-regulated advisers

October 3, 2018

The number of investment advisers that registered with the Securities and Exchange Commission in 2017 jumped 20% over the year before, according to an analysis by Schwab Advisor Services. The Schwab analysis shows that 238 firms registered with...

Finra CEO Robert Cook cautions industry not to take comfort in sharp drop in fines last year

October 2, 2018

Finra chief executive Robert W. Cook cautioned the financial industry Tuesday not to take comfort in the recent sharp drop in total fines imposed by the regulator. The Financial Industry Regulatory Authority Inc. levied $173.8 million in fines...

Finra will consolidate examination, risk-monitoring programs

October 1, 2018

Finra will consolidate its examination and risk-monitoring programs in an effort to make oversight of its member firms more efficient and effective, the regulator announced Monday. The Financial Industry Regulatory Authority Inc. said in a statement...

FPA splits with CFP Board over state regulation of financial planners

September 28, 2018

A trade group representing thousands of financial planners has split with the organization that grants the financial planning credential over whether the profession should be regulated at the state level. Earlier this week, the Certified Financial...

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