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Carl Ayers

Carl Ayers Carl Ayers, Publisher | 202-908-6194 | cayers@regcompliancewatch.com Carl has been the publisher of Regulatory Compliance Watch since 2008. He has won several national journalism awards, including for investigative reporting. In 2018, Ayers won two awards - a second place award for Best Spot News for a story reporting Form ADV developments ahead of the SEC (IA Watch, July 6, 2017), and a third place award for Best Investigative Reporting for a series on an adviser that initially fought SEC charges (IA Watch, July 27, 2017). He has worked at newspapers, in television news and in healthcare journalism. Carl hails from New Jersey, earned his master's degree from Northwestern University and enjoys playing guitar, working out and pursuing golf.
This exam touched on a wide-range of topics
These matters are currently the subject of relief in certain no-action letters from Commission staff
As a service to the adviser industry, Schwab has granted RCW permission to share its guide with you
These SEC FAQs can help you prepare for Reg BI
The proposal could update the national market system for the collection, consolidation, and dissemination of information with respect to quotations for and transactions in stocks
New Form CRS FAQs, an adviser takes on the coronavirus, comments on advertising rule and much more
Charges faced by former SEC-RIA now state-registered advisory firm
BPU Investment Management agrees to pay $927,000 to settle charges
To help in the transition away from LIBOR
A peer shared this example of a policy and procedure for anti-money laundering
The SEC gives the nod of approval for an investment adviser and its affiliated IA to create one form
Testimonials “will lead to a race to the bottom - once the market is opened to these types of endorsements, investor confusion will increase dramatically"
The new examiners’ focus: Cybersecurity and standards of conduct for investment advisers and broker-dealers
The World Health Organization has described the newly dubbed COVID-19 virus as a “very grave threat”
This latest batch tackles form format, delivery, affiliates sharing their form, disciplinary disclosures and more
Compliance "officers remain concerned that their good faith efforts and well-intentioned conduct may be punished"
OCIE seeks to add four positions to examine for compliance with new fiduciary duty rules and cybersecurity
Hester Peirce
We have created a regulatory Catch 22.  Would-be networks cannot get their tokens out into people’s hands because their tokens are potentially subject to the ...
More than 2,000 transactions did not contain any provisions to satisfy the Pre-Release Obligations
Jay Costa Kelter was sentenced to a prison term of 29 months

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