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Mark Schoeff Jr.

Senior Reporter: Washington, Regulation and Legislation

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Mark Schoeff Jr.https://www.investmentnews.com/apps/pbcsi.dll/persbilde?Avis=CI&ID=MSCHOEFF&maxw=220&cci_ts=20191017071646

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

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Finra exams show some firms lack mechanisms to detect unsuitable sales

Oct 16, 2019

Regulator's reviews also reveal lack of branch office supervision

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Securities lawyers call on Finra to halt expungement process

Oct 15, 2019

PIABA report charges systematic abuse of the procedure for clearing brokers' disciplinary records

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Bill requiring investor testing of SEC disclosures headed toward House approval

Oct 14, 2019

Measure, catalyzed by Form CRS, likely to advance on party-line vote

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Finra moves forward after 360 appraisal

Oct 12, 2019

Robert Cook discusses the challenges facing the broker regulator, ranging from retooling its exam program for Reg BI to supporting small firms and increasing its transparency

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Outcry over Ken Fisher comments could mark turning point for industry conferences

Oct 10, 2019

Advisers foresee more awareness about the need for an inclusive atmosphere

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SEC bars former Morgan Stanley broker involved in insider trading scheme

Oct 9, 2019

Michael Siva pleaded guilty to acting on nonpublic merger information

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Finra issues Regulation Best Interest checklist for brokers

Oct 8, 2019

Broker regulator guidance includes delineating how new standard differs from suitability

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Finra approves plan for specialized arbitrators to decide broker expungements

Oct 3, 2019

Board also votes for proposal about brokers acting as client beneficiaries

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Number of brokerages, reps registered with Finra falls again

Oct 2, 2019

Despite the declining number of participants, industry revenue and profit increase

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Brokerages won't know bite of Reg BI until enforcement begins

Oct 1, 2019

Principles-based rule provides little detail on how to comply

View all stories by Mark »

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