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.

Mark Schoeff Jr.
Displaying 3219 results
SEC exams to focus on investor fees, adviser conflicts of interest in 2019
YOUR PRACTICE PRACTICE MANAGEMENT DEC 20, 2018
SEC exams to focus on investor fees, adviser conflicts of interest in 2019

Agency intends to emphasize protection of Main Street investors.

William Galvin hits MetLife with $1 million fine for failing to keep track of pensioners
RETIREMENT LIFE INSURANCE AND ANNUITIES DEC 19, 2018
William Galvin hits MetLife with $1 million fine for failing to keep track of pensioners

Massachusetts says insurance firm must pay retirees and beneficiaries who were 'presumed dead'

SEC's latest on fiduciary: Advisers can customize individual client agreements
NEWS REGULATION AND LEGISLATION DEC 19, 2018
SEC's latest on fiduciary: Advisers can customize individual client agreements

Disclosure and informed consent can limit services, allow third-party pay.

Retirement savings legislation dies in lame-duck Congress
RETIREMENT RETIREMENT PLANNING DEC 19, 2018
Retirement savings legislation dies in lame-duck Congress

Proponents hope bill will be re-introduced early next year.

Interest groups spar over best way to cover unpaid arbitration awards
NEWS REGULATION AND LEGISLATION DEC 13, 2018
Interest groups spar over best way to cover unpaid arbitration awards

PIABA suggests brokerages fund a pool or Finra pay for shortfalls with fines, while FSI asks regulators to ban offenders from all corners of industry.

Clayton tells lawmakers advisers can skirt fiduciary standard
NEWS REGULATION AND LEGISLATION DEC 11, 2018
Clayton tells lawmakers advisers can skirt fiduciary standard

SEC chairman refuses to give specific time line for final advice-reform rule, but says it's a priority.

SIFMA says Reg BI raises broker standard above investment adviser requirements
NEWS REGULATION AND LEGISLATION DEC 06, 2018
SIFMA says Reg BI raises broker standard above investment adviser requirements

Investor advocate Roper: SIFMA wouldn't support SEC proposal if it reformed broker practices

Best the SEC can do or huge step backward? Industry leaders tussle over advice reform
NEWS RIAS DEC 05, 2018
Best the SEC can do or huge step backward? Industry leaders tussle over advice reform

Disagreement surrounds the effectiveness of Regulation Best Interest to meaningfully reduce conflicts.

Wells Fargo Advisors president David Kowach embraces best-interest standard
NEWS REGULATION AND LEGISLATION DEC 04, 2018
Wells Fargo Advisors president David Kowach embraces best-interest standard

Executive calls 'fiduciary' an ally, not enemy, and supports a common advice regulation for investment advisers and brokers.

RETIREMENT RETIREMENT PLANNING DEC 01, 2018
401(k) dilemma: Advisers weather a fog of uncertainty surrounding IRA rollovers

The DOL rule is dead, but advisers giving advice on moving 401(k) funds to individual retirement accounts are nervous because they're trying to meet regulators' expectations and possible changes under a new SEC advice rule.