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Carl Ayers

http://www.regcompliancewatch.com
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.
Judge with gavel sitting at wooden table against light grey background, closeup

Seven-year case ends in $22 million fine

IA Latest News
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Baseball great Yogi Berra famously said 'it ain’t over till it’s over.' After a court decision in a case involving a CCO, the question is ...
Cropped shot of three coworkers sitting at a table and taking notes

July 29, 2024 RCW Weekly Briefing

Investment Advisers
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A 7-year-old case against a CCO may be over, charging expenses to private funds, questions about how recent SCOTUS decisions will impact SEC enforcement and ...

FinCEN seeks your comments on beneficial ownership reporting

IA Rules & Regulatory Actions
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You have until Aug. 22 to share your comments on FinCEN's form for certain firms to report their beneficial owners
Two businesspersons talking in the office

Registration for Index-Linked Annuities

IA Rules & Regulatory Actions
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The SEC amends the form currently used by most variable annuity separate accounts, Form N–4, to require issuers of RILAs to register offerings on that ...
The IRS Service Building on Constitution Avenue in Washington DC.

IRS final rule: Required Minimum Distributions

IA Rules & Regulatory Actions
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These IRS RMD rules become effective Sept. 17, 2024, and begin applying to distributions in 2025
Silhouette row of businessmen sitting in meeting room

Sample SEC document request exam letter

IA Compliance Toolbox
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Here is a sample DOE document request letter submitted by a compliance consultant
Diverse Mature Students Learning in Classroom, Using Laptops and Writing in Notebooks. Male And Female Class Attendees Listening to Lecture And Taking Notes During Adult Education Course in School

SEC exam recap: Keep your firm’s websites current

IA Latest News
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Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...
Business people sitting in boardroom and working together at new strategy plan. Group of leader and businesspeople in a meeting at office. Senior executive with his team working in a conference room.

A new DOE document request letter

IA Compliance Toolbox
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This short request letter went to a firm in Florida
Three people. Polygraph examiners works in the office with his lie detector's equipment.

New SEC document request letter

IA Compliance Toolbox
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Check out this SEC document request letter
Students writing in the exam hall of the college

New DOE document request letter

IA Compliance Toolbox
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A peer shares a copy of the firm's SEC document request exam letter
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