Home Authors Posts by Carl Ayers

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.
SEC Chairman Gary Gensler
"Few things undermine trust in the markets more than insiders abusing their positions for personal advantage, such as by trading using material nonpublic information"
SEC Chairman Gary Gensler
"As we work to advance this agenda, we greatly benefit from public input regarding the economics and the policies themselves"
SEC Chairman Gary Gensler
"It’s because we oversee the U.S. securities markets and have a real role to ensure they remain the most efficient, competitive, and resilient in the ...
A businessman covers his eyes and extends his arm in a futile effort to prevent the inevitable a series of heavy walls from falling on him.
ECM failed to engage an independent public accountant to verify by actual examination at least once during each calendar year the REOC Funds’ funds and ...
Wooden hammer with gold details and books in the background.
The IAA grants RCW permission to share this chart with you
The word TOP 10 written in vintage metal letterpress type on a soft backlit background.
Sample our most popular content of the month
Second hand images of people putting dollars in their hands, they are business partners who are doing fraudulent behavior to benefit from joint projects. Business fraud and bribery is illegal concept.
It may have taken 13 years, but the SEC has finally approved a rule Congress ordered it to promulgate in the 2010 Dodd-Frank law: prohibiting ...
Diverse Group of Professionals Meeting in Modern Office: Brainstorming IT Programmers Use Computer Together, Talk Strategy, Discuss Planning. Software Engineers Develop Inspirational App Program
Yet another new final rule from the SEC, tips to prepare for a cyber breach, the FBI wants your help and much more
an accident scene
Odds are your firm will suffer a computer breach, if it hasn’t already—and you may not even know it
SEC Chairman Gary Gensler
"Regulation D, first adopted in the early 1980s, has become one of the most important exemptions for companies looking to raise capital outside of registration. ...

Copyright PEI Media

Not for publication, email or dissemination