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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.
The FAQ slaps five conditions on the use of this regulatory relief
The SEC would not recommend enforcement action to the Commission under Advisers Act rule 206(4)-2 if an adviser does not maintain the certificates with a ...
Results of RCW's coronavirus survey, liquidity risks again, a delay in surprise custody exams, and much more
Clayton mentioned upcoming OCIE risk alerts related to examining for these new regulatory responsibilities
Mail “processing is not something that I specifically spelled out in the BCP and it has to be spelled out”
Jay Clayton
We believe that the June 30, 2020 compliance date for Reg BI and other requirements, including the requirement to file and begin delivering Form CRS, ...
Some investors are inquiring about the health of key persons
If “logistical disruptions” caused by the coronavirus prevent the accountant from doing the surprise exam, it can be delayed
The agency also may be witnessing a payoff for having created the liquidity risk management rule
His computer screen turned red and a message flashed that his data were being held for ransom
This comes courtesy of The Plain Language Group in Charlotte, N.C.
Download the latest quarterly compliance calendar from RCW
If the accountant failed to do the exam within the deadline due to the "logistical disruptions" caused by COVID-19, the filing deadline can be extended
The Request asks about non-compliance with Rule 15c3-1 if broker-dealers treat certain receivables resulting from bank sweep programs as allowable assets
The Commission has been monitoring the effects of COVID-19 and is now extending the exemptions with certain modifications in light of its current understanding of ...
The health and safety of all participants in the securities markets is of paramount importance
Find links to certain SEC Division of Trading and Markets-related documents in response to the effects of COVID-19
You state that, because of the coronavirus disease (COVID-19) outbreak, there is a short- term dislocation in the market for a variety of debt securities
The disruptions resulting from COVID-19 mentioned above could hamper the efforts of municipal advisors to timely meet filing deadlines for annual updates to Form MA
We are adopting temporary final rules for Form ID filers and for issuers subject to reporting obligations pursuant to Regulation Crowdfunding and Regulation A

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