Mark Schoeff Jr.

Senior Reporter: Washington, Regulation and Legislation

staff
Mark Schoeff Jr./apps/pbcsi.dll/persbilde?Avis=CI&ID=MSCHOEFF&maxw=220&cci_ts=20180128041519

Mark Schoeff Jr. covers Capitol Hill and regulatory agencies for Mopedia. A former Senate aide, he’s seen firsthand the best and worst of Washington since the end of the Bush 41 administration. An Indiana native, he’s a victim of capture himself — by the capital’s sport teams — becoming a Nationals, Wizards and Skins fan.

[email protected]

202-662-7218

Recent Articles

elderly old wheelchair-Main

Finra elder-abuse rule could trigger delicate conversations between brokers, clients

Jan 26, 2018

Regulation taking effect Feb. 5 requires reasonable effort to find trusted contact, allows brokers to stop fund disbursement

Rule regulation-Main

Major financial trade groups to CFP Board: Slow the effort to raise mark's fiduciary standard

Jan 25, 2018

SIFMA, FSI want the Securities and Exchange Commission to go first

BradyAward0124-main

Finra arbitrators award $878,712 to broker wrongfully terminated by Ameriprise

Jan 24, 2018

But suspension remains in effect until April

Arb ruling-main

Finra arbitrators award more than $4 million in case against rogue broker

Jan 23, 2018

The settlement would make the harmed investors whole, but can they collect?

Screenshot 2017-12-20 13.34.59

Finra launches helpline for small-firm members

Jan 22, 2018

Broker-dealer regulator calls it an outcome of Finra360 self-examination

scissors

Cutting through the red tape of adviser regulation is tricky

Jan 20, 2018

Don't expect a simple rollback of rules under the Trump administration in 2018 — instead, regulators are on pace to bolster financial adviser oversight

Finra black

Finra releases budget for first time, foresees declining operating revenues

Jan 18, 2018

Regulator reveals plans to hold senior officer salaries flat, and other financials, in transparency effort

Capitol, Bloomberg

Legislation would make it harder for investors to sue mutual funds over high fees

Jan 17, 2018

A plaintiff would have to state in their initial complaint why fiduciary duty was breached, and then prove the violation with 'clear and convincing evidence'

Supreme Court

Supreme Court review of SEC judges could roil pending cases

Jan 16, 2018

But long-term, the agency may get around questions of constitutionality by changing the way it brings on administrative law judges

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Fiduciary groups urge SEC to prevent brokers from using 'adviser' title

Jan 12, 2018

Comment letters from the Committee for the Fiduciary Standard and the CFA Institute suggest the clarification is needed to differentiate brokers from investment advisers

View all stories by Mark »

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