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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.
Hourglass on laptop computer concept for time management and countdown to deadline
This joint CFTC/SEC final rule shifts the compliance deadline for new Form PF amendments from June 12 to Oct. 1, 2025
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Just when you thought the concept of harmonizing investment adviser and broker-dealer rules has become an anachronism, the idea took a small step toward reality ...
Portrait Of Mature Man And Woman Working Outdoors In Garden Centre Using Digital Tablet
You can read it as another sign that the SEC stands poised to revise its view of retail investors being permitted to invest in private ...
Top view panorama banner of business team assembling jigsaw puzzle over table symbolize business partnership and collective teamwork for HR recruitment and job seeker background. Shrewd
An industry trade group has urged the SEC to get behind a 'public-private partnership' to urge anonymous submissions of known cyberattacks to alert the industry ...
Pencil Eraser on white.
Predictions greeted the new administration, forecasting that some proposals would surely be withdrawn but the 14 coming at the same time must surprise even the ...
A teacher cleans a dirty green chalkboard
This final rule announces the withdrawal of 14 prior SEC rule proposals, including the AI, safeguarding, outsourcing and other rules targeting advisers
Famous Zermatt village with the peak of the Matterhorn in the Swiss Alps
It appears the FINMA capitulated, agreeing to allow the Commission examiners access to firms’ 'books and records, including personal data,' as well as to 'conduct ...
Business is in the profits. A young investor is happy with the money coming in.
Recommendations around mandatory arbitration clauses in advisory contracts, data show rising CCO salaries, public-private partnership proposed to combat cyber crimes directed at financial services and ...
SEC chairman Paul Atkins
"I have directed the staff to undertake a comprehensive review of Form PF. I have serious concerns whether the government’s use of this data justifies ...
"I suspect that we will continue to accommodate requests to extend this compliance date until we have significantly revised or undone this rule"
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