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
NEWS REGULATION AND LEGISLATION OCT 31, 2013
This state's advisers fumble custody requirements

Many advisers in Massachusetts who moved from SEC oversight to the state last year failed to disclose that they have custody of client assets — a result of poor understanding of custody rules.

INVESTING MUTUAL FUNDS OCT 31, 2013
SEC backs two options to control money funds; White floats combo

One plan would let value of some money funds float, another would impose redemptions.

NEWS REGULATION AND LEGISLATION OCT 31, 2013
SEC's chief examiner heads to Finra

Di Florio to set up new unit to ID emerging vulnerabilities for investors and markets.

YOUR PRACTICE PRACTICE MANAGEMENT OCT 30, 2013
Take 5: New NASAA president Andrea Seidt

Ohio Securities Commissioner Andrea Seidt is concerned that the Securities and Exchange Commission is getting bogged down.

NEWS REGULATION AND LEGISLATION OCT 30, 2013
Fewer advisers than expected switch to state oversight

Back in 2009, regulators predicted that 4,000 investment advisers would shift from SEC regulation to state oversight. They were slightly off.

NEWS RIAS OCT 30, 2013
Report paints picture of 'typical' adviser

Median investment adviser under SEC regulation has $270M in AUM, 92 accounts, and eight employees

NEWS REGULATION AND LEGISLATION OCT 29, 2013
Wait for it — Labor Department delays fiduciary rule

Borzi offers few details but says re-proposal will cover brokers selling IRAs.

NEWS REGULATION AND LEGISLATION OCT 29, 2013
Senate Democrats urge delay in Labor fiduciary-duty rules

Group wants coordination between SEC and DOL on contentious issue.

NEWS REGULATION AND LEGISLATION OCT 29, 2013
House Committee approves bill to slow DOL, SEC fiduciary rulemaking

If it gets through House, Senate passage unlikely but the idea is out there.

INVESTING ALTERNATIVES OCT 24, 2013
SEC proposes crowdfunding rules

The SEC announced its proposal for crowdfunding rules, but advisers remain extremely wary. With a potential vulnerability for fraud and failed investments, will the due diligence required for crowdfunding outweigh its actual benefits?