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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.
(a) In general. A security-based swap dealer and major security-based swap participant shall designate an individual to serve as a chief compliance officer on its ...
(a) Definitions. For purposes of this section: (1) Acquisition (or acquire) means any purchase or subsequent rollover. (2) Business day means any day, other than ...
Every registered open-end management investment company, or series thereof but not a fund that is regulated as a money market fund under § 270.2a–7, that ...
Each registered management investment company or exchange-traded fund organized as a unit investment trust, or series thereof, other than a registered open-end management investment company ...
(a) Until April 1, 2019, each registered management investment company subject to § 270.30b1–9 of this chapter must satisfy its reporting obligation under that section ...
(a) For the purposes only of Section 5 of the Act (15 U.S.C. 77e), the publication or distribution of quotes relating to security-based swaps that ...
(a) General. A Company may satisfy its obligation to transmit a report required by § 270.30e–1 or § 270.30e–2 (‘‘Report’’) to a shareholder of record ...
(a) Best interest obligation. (1) A broker, dealer, or a natural person who is an associated person of a broker or dealer, when making a ...
Form CRS, for preparation, filing and delivery of Form CRS. (a) Scope of section. This section shall apply to every broker or dealer registered with ...
F-Squared Investments co-founder Howard Present should have known better. Before founding F-Squared in May 2006, a long career in the development and marketing of mutual ...
The SEC is proposing to amend rules to reflect the new, higher registration, termination of registration and suspension of reporting thresholds under revised Exchange Act ...
The SEC extends temporary Investment Adviser rule 206(3)-3T (principal trade) through 2016.
The euphoria the industry may have felt following the U.S. Supreme Court’s decision three years ago in Janus (IA Watch, June 20, 2011) deflated a ...
The annual financial report previously released by FINRA showed 2013 was a good year for the SRO (IA Watch, July 7, 2014). Now, according to ...
Like a congressional election, the SEC’s extension of temporary Investment Advisers Act rule 206(3)-3T – which permits dually-registered firms to comply with requirements when acting ...
The news keeps getting better for commodity trading advisors. A new CFTC no-action letter builds on recent regulatory developments aiding CTAs. For instance, it extends ...
A peek at the regulatory year ahead can be seen in a new speech by SEC Chair Mary Jo White. In speaking Dec. 11th, White ...
Advisers know that if a portfolio manager makes a trade error, it’s perfectly acceptable to reimburse a client’s account (IA Watch, Nov. 7, 2011). But ...
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