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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CFP hopefuls slow to embrace remote exams
NEWS REGULATION AND LEGISLATION OCT 21, 2020
CFP hopefuls slow to embrace remote exams

Only 6% of 2,153 candidates who sat for the test in September exercised the option to take it from home

Investment Company Institute appoints Eric Pan chief executive
INVESTING MUTUAL FUNDS OCT 20, 2020
Investment Company Institute appoints Eric Pan chief executive

Former SEC, CFTC official puts mutual fund disclosure, ESG policy at top of agenda

Reg BI promotes same standard of care across advice models: SEC's Clayton
NEWS RIAS OCT 19, 2020
Reg BI promotes same standard of care across advice models: SEC's Clayton

'I think it’s going pretty well,' he said about the first four months since implementation

Morgan Stanley's Gorman stresses caution amid 'turmoil and uncertainty'
YOUR PRACTICE PRACTICE MANAGEMENT OCT 19, 2020
Morgan Stanley's Gorman stresses caution amid 'turmoil and uncertainty'

The looming election, social tension and economic factors are creating an atmosphere for prudence, he said

New Jersey financial transaction tax set for Assembly hearing
NEWS REGULATION AND LEGISLATION OCT 15, 2020
New Jersey financial transaction tax set for Assembly hearing

Amendments to reduce the size of the levy and set an expiration date likely to be considered

XYPN advocates for consistent regulation of fee-for-service advisory model
NEWS RIAS OCT 13, 2020
XYPN advocates for consistent regulation of fee-for-service advisory model

The group's lobbying effort must address states’ concerns about charging without delivering

XYPN rules out Supreme Court appeal over Reg BI
NEWS REGULATION AND LEGISLATION OCT 12, 2020
XYPN rules out Supreme Court appeal over Reg BI

The network of fee-for-service advisers will instead focus on state-level fiduciary advocacy

SEC warns firms not to omit disciplinary history from Form CRS
YOUR PRACTICE PRACTICE MANAGEMENT OCT 08, 2020
SEC warns firms not to omit disciplinary history from Form CRS

Top agency officials say staff members are finding compliance shortcomings in the disclosure document

Clayton touts SEC enforcement achievements despite pandemic disruptions
NEWS RIAS OCT 08, 2020
Clayton touts SEC enforcement achievements despite pandemic disruptions

The agency imposed sanctions totaling more than $4 billion and examined 15% of RIAs

SEC proposal would allow ‘finders’ to pitch unregistered securities
INVESTING ALTERNATIVES OCT 07, 2020
SEC proposal would allow ‘finders’ to pitch unregistered securities

While approved for public comment, Democratic commissioners voiced concerns over investor protections