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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.
One of the audiences the Commission targets is investors
Proposal would permit testimonials, mandate compliance reviews
Commission proposing tweaking record-keeping rule in light of advertising proposal
“The industry looks to these types of resolutions in structuring their own compliance” programs
OCIE releases results of IC exams
A “language barrier and certain cultural differences” blamed for regulator woes
SEC claims adviser failed at its fiduciary duty; advisers fires back
This is the SEC new proposed advertising rule
SEC proposes changing the advertising rule for the first time in decades
Settlement follows criminal case plea that could land the CCO in jail
Your Nov. 4, 2019 RCW Weekly Briefing
A guide to help you comply with the custody rule
CPO barred for misbehavior
SEC FAQs to help you with Form ADV
The SEC proposes revising a rule that governs the publication of securities' quotations
The SEC is proposing amending rule 0–5 under the Investment Company Act to establish an expedited review procedure for applications
Proxy Voting
Get tips for handling your proxy voting responsibilities
Learn from your peers who have survived mergers
Four years after the case began, judgment comes down upon fraudster

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