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Carl Ayers

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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.
These new regulations require routine position reports from clearing organizations, clearing members and swap dealers and also apply to reportable swap trader positions.
This regulations extends privacy provisions to swap dealers and major swap participants.
This final rule codifies relief from certain disclosure, reporting, and recordkeeping requirements that Commission staff previously had issued to these CPOs on a case-by-case basis.
This is an SEC no-action letter that declares a booklet containing a partial list of clients as an advertisement even though it was intended for ...
Section 18(f)(1) generally prohibits a registered open-end investment company or series thereof (“Fund”) from issuing any “senior security.” Section 18(g) of the Investment Company Act ...
The staff has been asked whether an investment company registered under the Investment Company Act of 1940 ("Investment Company Act") or a company that has ...
Merrill Lynch settled this case that it violated the Advisers Act books and records rule by failing to maintain records of the offer to deliver ...
Start gathering your documents as soon as you receive the letter – the SEC’s notice that its examiners are coming and the list of materials ...
This is the widely-publicized case of a number of Fidelity broker-dealer reps who settled for accepting extravagant gifts and entertainment. This case is from 2008.
This SEC Division of Investment Management no-action letter deals with use of performance data from a PM's prior firm being applied to an advertisement.
This no-action letter relates to showing predecessor performance data in advertising and marketing.
This no-action letter concerns section 205(2) of the Advisers Act.
This SEC no-action letter addresses use of predecessor performance data in advertising and marketing.
This SEC no-action letter provides guidance on use of performance data achieved prior to joining a firm, for advertising and marketing purposes.
This SEC final rule makes amendments to require a registered management investment company to provide disclosure in its reports to shareholders regarding the material factors ...
This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers.
If a fund has not adopted a rule 12b-1 plan, then it cannot use fund assets to pay for services that are primarily intended to ...
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