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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.
Attractive young businesswoman using abstract digital business interface on blurry city background. Finance and innovation concept. Double exposure
This paper examines registered broker-dealers and their activities from 2010-2024, and provides an analysis of the industry, structure of activity of different types of broker-dealers, ...
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An RCW exclusive look at a new SEC exam letter targeting a private fund adviser, more talk of retail investors getting into PFs, new data ...
Legal Counselor Mediates Heated Divorce Dispute Between Angry Latino Couple
Consider this fair warning: The plaintiff’s bar is actively looking for private fund investors interested in suing their investment advisers—a trend that’s sizzling
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More signs appear that SEC examiners may be chastising private fund advisers for having 'hedge clauses' in fund documents and advisory agreements
AI technologies have significant potential to transform society and people’s lives – from commerce and health to transportation and cybersecurity to the environment and our ...
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The new Commissions moves to end 14 Biden-era rule proposals, Form PF changes delayed again, reasons to watch those 'hedge' clauses and much more
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Nash misappropriated $4.6 million in funds from an El Capitan client to purchase a private residence for Nash and then falsified bank documents to hide ...
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This final rule announces the withdrawal of 14 prior SEC rule proposals, including the AI, safeguarding, outsourcing and other rules targeting advisers
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This joint CFTC/SEC final rule shifts the compliance deadline for new Form PF amendments from June 12 to Oct. 1, 2025
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