Home Authors Posts by Carl Ayers

Carl Ayers

Avatar
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 the Form PF approved by the SEC and the CFTC in 2011 for exempt-reporting, private fund advisers and others to file confidential data ...
The branch inspection process is a critical component of a comprehensive risk management program and can help protect investors and the interests of the firm. ...
This final rule establishes the compliance and other obligations facing derivatives clearing organization (DCO) as a result of Dodd-Frank reforms.
The Securities and Exchange Commission’s (“Commission”) National Exam Program (“NEP”) has identified the master/sub-account trading model as a vehicle that could be used to further ...
This new rule establishes a Commission certification procedure applicable to the offer or sale, to persons in the U.S., of a non-narrow-based security index futures ...
This final rule and interpretation deals with regulations governing off-exchange foreign currency transactions with members of the retail public (i.e., retail forex transactions) and makes ...
This Dodd-Frank-inspired regulation establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (SDRs).
This final rule from the CFTC establishes a framework for the submission of new products, rules, and rule amendments by designated contract markets (DCMs), derivatives ...
This CFTC final rule removes credit rating references from Commission regulations. This Dodd-Frank reform targets futures commission merchants (FCMs), derivatives clearing organizations (DCOs) and commodity pool ...
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 ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination