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Mark Schoeff Jr.

Senior Reporter: Washington, Regulation and Legislation

Mark Schoeff Jr.https://www.investmentnews.com/apps/pbcsi.dll/persbilde?Avis=CI&ID=MSCHOEFF&maxw=220&cci_ts=20181018080805

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 commissioner Stein suggests Congress address differing broker, adviser standards

Oct 16, 2018

She said lawmakers may have to change 'solely incidental' language that lets brokers give advice

New Jersey

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

Oct 15, 2018

Document suggests the proposed SEC advice rule is too weak


Divided we stand: How financial advisers view President Trump

Oct 13, 2018

InvestmentNews poll finds 49.2% approve of his performance, while 46.7% disapprove. How has that changed over the course of his presidency?


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

Oct 13, 2018

A shift in control of the House could change the course of important issues, including the SEC advice rule, tax reform and retirement policies


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

Oct 12, 2018

John Halsey Buck III was fired by Morgan Stanley in January over private securities sales

Money adviser

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

Oct 12, 2018

Brian Chilton moved to Morgan Stanley instead of Wells Fargo after Credit Suisse closed brokerage business


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

Oct 10, 2018

But NASAA said among cases brought against registered entities, the number of investment adviser cases 'significantly outnumbered' broker-dealer cases for the first time

New Jersey

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

Oct 9, 2018

State poised to jump to lead in resisting forthcoming SEC advice rule


Brokerage exec pushes to get audit bill approved before Congress adjourns

Oct 8, 2018

Paige Pierce of Larimer Capital Corp. has been leading the effort to pass the Small Business Audit Correction Act


New NASAA president Michael Pieciak puts cybersecurity at top of agenda

Oct 5, 2018

State regulators release request for comment on model cyber rule

View all stories by Mark »

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