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
INVESTING MUTUAL FUNDS DEC 14, 2017
Regulators showing renewed interest in cracking down on investment fees

SEC, Finra targeting high-fee share classes, 12b-1 fees and failure to give sales load discounts and waivers to investors.

NEWS REGULATION AND LEGISLATION DEC 13, 2017
Broker, retirement groups make last-minute pleas to change tax legislation

Pass-through provisions are target of groups representing employee-model brokerage firms, as well as retirement plan advisers.

NEWS REGULATION AND LEGISLATION DEC 11, 2017
Industry opponents urge appeals court to rule on DOL fiduciary rule

Plaintiffs cite the two provisions of the regulation that became applicable in June, which they claim are 'imposing direct, substantial and continuing burdens on appellants' members.'

Finra would have special arbitrators make expungement decisions
NEWS REGULATION AND LEGISLATION DEC 08, 2017
Finra would have special arbitrators make expungement decisions

Regulator also seeks to set one-year limit from time a case closes to request a hearing.

NEWS REGULATION AND LEGISLATION DEC 06, 2017
Finra notes compliance pitfalls in first-time release of exam findings

Broker-dealer self-regulator summarizes deficiencies on areas including product suitability, cybersecurity

NEWS REGULATION AND LEGISLATION DEC 06, 2017
Legislation to combat elder financial abuse advances in Senate

Senate Banking Committee approves measure as part of larger Dodd-Frank reform bill.

NEWS REGULATION AND LEGISLATION DEC 06, 2017
Senate tax bill changes for pass-throughs more generous than House version, experts say

Senate measure's handling of such small-business income is simpler and makes allowances for more service companies.

NEWS REGULATION AND LEGISLATION DEC 04, 2017
What advisers need to know about the differences in the Senate and House tax bills

Major variations include provisions on stock sale timing, pass-through policies and the alternative minimum tax.

RETIREMENT LIFE INSURANCE AND ANNUITIES NOV 30, 2017
States may strengthen rules for selling annuities

Under a draft proposal being considered by insurance commissioners, agents would be required to put "the interests of the consumer first and foremost."

YOUR PRACTICE PRACTICE MANAGEMENT NOV 28, 2017
Fross brothers must pay fired partner $1 million

Owners of marketing firm Platinum Advisor Strategies deny trying to terminate Robert Sofia without compensation.