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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 SEC claims this case is about lying, forgery, and other deceptive conduct by Alan Seidel and Benjamin Mekawy
“I think it’s going to be a big year for adviser regulations”
Sample what your peers aim to achieve in the new year
Schwartz impersonated a customer on two telephone calls to an annuity company
The enforcement action was a long time coming
These items become effective this year
We are also proposing to clarify that an investment company or an investment adviser or sponsor is under an audit, the auditor and the audit ...
The CFTC is proposing a rule to prohibit ‘‘post-trade name give-up’’ practices related to trading on swap execution facilities
Laws and others fraudulently induced federal employees to rollover significant funds from their federal retirement accounts into annuities
This form consists of two separate accredited investor questionnaires (one applicable to individuals and one applicable to entities)
Bart McDonald of Renaissance Regulatory Services in Boca Raton, Fla.
Crypto firm has three months to refund any cash that investors demand back
“There is likely no greater threat to financial stability than a large-scale cyber incident”
Best ex has sat atop the agency’s list of issues for a long time
I cannot ignore the thousands Rossi spent gambling.
The revisions would make permanent certain temporary alternative compliance frameworks
Headshot of Rick Fleming
Fleming took the opportunity to repeat his thoughts about the Commission's actions in approving Regulation Best Interest and Form CRS
Springer concealed from prospective clients his prior disciplinary history with the SEC
New SEC rules, cybersecurity tips, custody and more in our last issue of 2019
The custody rule requires advisers to hire only auditors who are both PCAOB registered and subject to board inspection. But the PCAOB hasn’t yet adopted ...

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