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.
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FSI celebrates death of DOL fiduciary rule, praises SEC advice rule
NEWS REGULATION AND LEGISLATION SEP 25, 2018
FSI celebrates death of DOL fiduciary rule, praises SEC advice rule

General counsel David Bellaire predicts final broker standard in 2019, but not Form CRS.

NEWS REGULATION AND LEGISLATION SEP 24, 2018
CFP Board opposes state regulation of financial planning process

'Interstate profession' should be overseen at federal level, chairman says.

Clayton declines to set timeline for final SEC advice rule
NEWS REGULATION AND LEGISLATION SEP 21, 2018
Clayton declines to set timeline for final SEC advice rule

Agency's chairman says, 'We have work to do,' following investor roundtable in Baltimore.

Insurance executives push House to add annuity provision to tax reform bill
RETIREMENT RETIREMENT PLANNING SEP 20, 2018
Insurance executives push House to add annuity provision to tax reform bill

Insurance executives back measure making it easier to add lifetime income features to workplace savings plans.

What's next for the SEC advice rule?
NEWS REGULATION AND LEGISLATION SEP 15, 2018
What's next for the SEC advice rule?

With calls for significant revisions by commissioners and investor advocates, it's hard to predict when the reform package might cross the finish line.

SEC advice rule contains a huge hole
NEWS REGULATION AND LEGISLATION SEP 15, 2018
SEC advice rule contains a huge hole

Jay Clayton aims to clear up investor confusion by drawing a distinction between brokers and advisers in the agency's proposed package of revised standards. But where do dual registrants fit?

SEC penalizes RIA more than $2 million for 12b-1 violations
INVESTING MUTUAL FUNDS SEP 14, 2018
SEC penalizes RIA more than $2 million for 12b-1 violations

Pennsylvania advisory firm invested client funds in expensive share classes when less costly ones were available.

House committee approves bill to ease audit requirements for small broker-dealers
NEWS REGULATION AND LEGISLATION SEP 13, 2018
House committee approves bill to ease audit requirements for small broker-dealers

Rep. Maxine Waters, the top panel Democrat, opposes relaxing oversight.

Democrats urge SEC to strengthen broker standard in advice rule
NEWS REGULATION AND LEGISLATION SEP 12, 2018
Democrats urge SEC to strengthen broker standard in advice rule

In letter to SEC chairman Jay Clayton, lawmakers say agency's proposal is weaker than standard Congress laid out in Dodd-Frank.

Stifel CEO Kruszewski named chairman of American Securities Association
NEWS REGULATION AND LEGISLATION SEP 12, 2018
Stifel CEO Kruszewski named chairman of American Securities Association

American Securities Association will represent sector before Congress, regulators