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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.
Two Brokers in Euphoria
He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"
unhappy and poor Asian woman holding purse having problem with money flying away, over spending concept background
"For a fund that already has such differential advisory fee waivers in place, its Board may wish to consider ... whether the steps they are ...
Lock as symbol for privacy and general data protection.
Lessons from a real-world cyber event, plus guidance to help protect your firm
Server racks with telecommunication equipment in server room
A new SEC proposal, lessons learned from a real-life cyber event, testimonial tips and much more
Pen and yellow sticky notes written with Clients Testimonial on wooden background.
It would be ideal if chosen testimonials “somehow provide transparency to the investment process”
SEC Commissioner Crenshaw
"There are market integrity implications to allowing private issuers to grow so big without adequate disclosure or oversight"
Happy financial advisor shaking hands with a couple after successful meeting in the office.
The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...
Follow this strategy and a firm “would know immediately that transfers among these different accounts don’t make sense"
SEC Commissioner Uyeda
"A skeptic might believe that some ESG products are merely offered in order to extract higher management fees"
Business Team Investment Entrepreneur Trading discussing and analysis graph stock market trading,stock chart concept
Comments will be accepted through March 31, 2023
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