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.
We require our registrants to disclose both the good and the bad news and, in that vein, it is appropriate for me to note that ...
Identifying asset managers who proclaim ESG, but don’t live it, is not so easy. Investors are pouring assets into ESG-labelled investment products, and asset managers ...
Some cases needed to be re-tried by entirely new trial teams who were pulled from active investigations and litigations. As you might imagine, this required ...
Although Haupt conducted certain reviews of GGHC’s trading in 2017, she conducted no reviews for excessive trading or the impact of GGHC’s trading strategies or ...
Rule 15c3-l, promulgated thereunder (the “net capital rule”), requires that a broker-dealer “at all times have and maintain net capital” no less than the greatest ...
Respondent has submitted a sworn Statement of Financial Condition, dated February 29, 2020, supplemented as of June 30, 2020, and other evidence and has asserted ...
Limit video calls with examiners to 45-60 minutes because “people get tired” during these calls
A checklist to use when opening a new account
A 10-point questionnaire for advisers to ask clients as a means of planning for their elder years. This comes courtesy of Sandy Adams, CFP and ...
A look at OCIE's latest risk alert, a resolution to an issue that has frustrated some advisers and vexed the SEC, a development in a ...
“We didn’t anticipate that this would go on as long as it has,” OCIE Director Peter Driscoll said
The published rule begins June 14, 2021. It promises “an expedited review procedure for applications” that are “substantially identical to two other applications"
"we should examine whether appropriately-structured funds can facilitate greater Main Street investor access to private investments, particularly as a component of an investment portfolio that ...
"I am happy to see the Committee now turning back to focus more on some of these same topics: retail access to private market investments, ...
The OTC equity market has transitioned from being paper-based, where brokers provided quotes over the phone, to a real-time electronic market
Ensuring that investors have access to material information so they can make informed investment decisions is a cornerstone of our federal securities laws
Proposed Rule 15(a)(2) would specify that the Commission may prevent the submission to EDGAR of any submission that poses a cybersecurity threat, including but not ...
The Commission is adopting amendments to Rule 15c2-11, which sets out certain requirements for a broker-dealer seeking to initiate (or resume) quotations for securities in ...
"By failing to challenge ourselves to experiment with new approaches to regulation, we, and those whose interests we are pledged to serve, risk surrendering the ...
OCIE encourages registrants to consider reviewing and updating their Regulation S-P and Regulation S-ID policies and programs to address the emergent risk of credential stuffing
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