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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.
William Birdthistle
"This proposal recognizes that advisers must take these threats seriously, that clients and investors deserve better disclosure about cyber incidents"
Re-papering agreements. Establishing new compliance P&Ps. Reining in marketer expectations. While the new SEC IA ad rule will give you great flexibility, it also hands ...
SEC Commissioner Crenshaw
"I am hopeful that broker-dealers and clearing agencies will make efforts to assist retail investors in exercising their options if the investors wish to do ...
Digital illustration of hand reaching out from a laptop screen to steal a credit card. This illustrates the cyber crime of identity theft and credit card fraud.
The current Reg S-P requires firms to alert customers how they will use their information. The SEC proposed amending Reg S-P in 2008 but it ...
Two IT professionals in a big control room of a factory talking.
A look at new SEC proposals, commenters punch back on swing pricing, lessons from a CCO gone bad and much more
Mid adult woman leading a demonstration using a megaphone outdoors
If this were a boxing match, the SEC would be left bloodied—in a contest over the Commission’s proposed mutual fund liquidity risk and swing pricing ...
High quality 3d rendering of a sandstone 'BANK' sign breaking up with cracks
While the impact of the failures of Silicon Valley and Signature banks on the larger economy remains uncertain, pain has trickled down upon the banks’ ...
SEC Commissioner Uyeda
"Today’s proposed amendments are a mixed bag of practical improvements and potentially conflicting requirements"
SEC Commissioner Lizarraga
Given cyber breaches, "we must do everything in our power to enhance cybersecurity practices by market participants and to protect investors’ sensitive personal information"
SEC Commissioner Crenshaw
"When personal information or assets are stolen, the results can be calamitous. It can lead to identity theft, stolen savings, ruined credit, and other effects ...

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