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Carl Ayers

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.
Prior to SoFi Wealth’s decision to move client assets into the new SoFi ETFs, and prior to the transfer itself, SoFi Wealth did not perform ...
A fresh batch of SEC exam and deficiency letters has come into RCW from various sources. In part 3 of our series on hot exam ...
A source shares a 2021 DOE exam letter
A source shares a 2021 DOE exam letter
A source shares a 2021 DOE exam letter
A source shares a 2021 DOE exam letter
A source shares a 2021 DOE exam letter
This is a 2021 DOE exam letter shared by a source
It has to be embarrassing for CCOs at firms recently cited for failing to file required Form CRSs, which could explain why more than one ...
RCW shares 10 new SEC document request letters so you know what examiners are asking about, plus why did all those CCOs miss their Form ...
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