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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.
That sweep of investment advisers and broker-dealers announced earlier this year to look at how firm’s deal with cybersecurity has concluded (IA Watch, April 21, ...
Odds are that within three feet of where you are lies your cell phone or other mobile device. These tools have become ubiquitous. It’s tempting ...
A major stumbling block preventing serious consideration of a user fee bill to pay for more SEC exams of advisers has been the lack of ...
The wait’s over if you’re among those dually-registered advisers that hung back on using the new general solicitation authority to advertise private funds because you ...
Securities regulators, broker-dealers and other financial institutions will form a working group to figure out how to make brokerage fee disclosures easier for investors to ...
In a new FAQ, the SEC states that the deadline for CEOs to attest that their entities satisfy the Volcker Rule’s compliance program requirements is ...
It’s déjà vu all over again. Nearly a year to the day that the SEC settled 22 cases tied to violations of short selling rules, ...
This final rule amends Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities. The final rules require that, with ...
This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, could be used for staff to seek permission to use their personal devices ...
This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, can be used to have staff attest to agreeing to abide by a ...
This 2014 proposal provide would hold that certain communications involving security-based swaps that may be purchased only by eligible contract participants will not be deemed ...
This exemption letter from the CFTC permits certain commodity pool operators from having to file Form CPO-PQR.
For some advisers, their clients must go to their custodian’s website, say a Charles Schwab or Fidelity, to glance at their portfolios online. Some build ...
You may have missed it, given that the SEC picked the day before the big Labor Day weekend to announce its first whistleblower award to ...
The government alleges Robare & Jones Asset Managers ($150M in AUM) in Houston earned $441,000 in hidden fees over eight years without disclosing or adequately ...
Add a new party in predicting what an advisory firm may pay should Congress permit the SEC to assess user fees to fund more RIA ...
By allowing broker-dealers to offer investment advice without living under a fiduciary duty standard, “the SEC is permitting them to deceive investors about the nature ...
The SEC’s not the only regulator on your radar screen looking at alternative mutual funds (IA Watch, Aug. 28, 2014). FINRA is also looking at ...
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