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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.
Photo of house exterior with flooded yard; artificially rendered
By now you’ve seen the images of the utter destruction in Western North Carolina, ravaged by Hurricane Helene. You can only imagine what it was ...
Aerial view of flooded houses with dirty water of Dnister river in Halych town, western Ukraine.
Follow this tip, add a small generator and 'you could have a remote office' for about $700
Young woman rock climbing, the partner is giving a helping hand. Spectacular lake and mountain scenery on the background.
You can help the victims of Hurricane Helene
Palm Trees Before A Tropical Storm or Hurricane
Real-life survival stories from Hurricane Helene, plus BCP tips, new PF FAQs and much more
Business team investment trading do this deal on a stock exchange. People working in the office.
This new SEC final rule amends NMS rules regarding minimum pricing increments for the quoting of certain NMS stocks. It also reduces the access fee ...
RCW doesn’t endorse any of these firms and they didn’t pay to be on our list
Middle aged smiling professional business man global company executive ceo manager or lawyer wearing suit sitting at desk in modern office working on laptop computer and writing notes, copy space.
Given that you must use EDGAR to file your electronic 13F, seek to 'identify the technicalities that can cause a filing to fail, such as ...
Horizontal studio image of a well dressed businessman putting a stack of $100 bills in his suit coat pocket. This could represent a pay bonus or some kind of embezzlement or corruption. A small amount of post processing noise was added to the gray background.
The SEC’s settlement suggests one compliance action you could consider
Farmer picking cherries
More guidance to meet SEC filing obligations, a compliance tip to catch cherry picking, why you should avoid certain contract provisions and much more
A British Police officer operating a hand held speed gun
Thrivent promptly identified and reported the violations during an SEC examination and paid $22k to 846 retail customers as a result
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