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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.
This is a copy of the sweep letter OCIE has used as part of its effort to examine advisers that manage so-called alternative mutual funds. ...
The client was sharp enough to warn his adviser that his e-mail had been hacked “and to be on the lookout” for a fraudulent request ...
Consultants performing mock exams are dialed in to the SEC’s most recent document request letters and the regulator’s specific records sought (IA Watch, Aug. 11, ...
After the SEC last year charged Timbervest ($1.1B in AUM) in Atlanta with improperly splitting undisclosed commissions (IA Watch, Sept. 30, 2013), the firm promised ...
Although we reported months ago that SEC examiners would select a handful of alternative mutual fund advisers for its current sweep exam (IA Watch, April ...
Last month, the SEC’s first Investor Advocate Rick Fleming urged Congress to pass legislation allowing the agency to charge investment adviser user fees to pay ...
Because Dodd-Frank directed the SEC to produce an annual report on Form PF data, you now have insight into how OCIE plumbs the data for ...
Last week, the Department of Labor put out a request for industry comment on the use of so-called brokerage windows in 401(k) and other ERISA ...
The newest category of regulatory registrant, the municipal advisor, is on notice that OCIE is beginning a sweep exam. The targets will be only those ...
This is an introductory letter sent from OCIE in August 2014 describing topics examiners may pursue when looking at entities registered as municipal advisors.
Blackbook Capital charged customers $60.50 in addition to or in lieu of commissions on 4,515 transactions over a roughly two-year period, FINRA says. The firm ...
If you go to arbitration with a dissatisfied customer, you will no longer be able to settle the case contingent on the customer’s agreement not ...
This is the Dodd-Frank provision that supposedly limits the SEC's Enforcement Division to act on an investigation within 180-days of a Wells action. However, the ...
(a) DEFINITIONS.—In this section— (1) the term ‘‘Federal banking agencies’’ means the Office of the Comptroller of the Currency, the Board of Governors of the ...
This correction amends erroneous cross-references found in three sections of the final CFTC rules for FCMs and DCOs.
This SEC document is required to be completed quarterly by investment managers with discretion over accounts holding Section 13(f) securities that have an aggregate fair ...
This is a correction of an earlier rule that put in place risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, ...
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