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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.
DreamFunded Marketplace touted itself as “a world-class equity crowdfunding platform.” The dream died. FINRA filed a complaint against the San Francisco-based funding portal, alleging violations ...
Brokers with a checkered past have been shown via recent studies to be risks going forward. FINRA—concerned about the penchant for repeated disciplinary actions, arbitrations ...
If your firm endured an OCIE exam that raised questions about whether clients received the lowest cost mutual fund share class, you can still qualify ...
A variety of questions are already beginning to “percolate” as the industry wraps its head around the significant package of fiduciary duty-related proposals advanced by ...
It isn’t often that a government attorney appears before the Supreme Court to argue against a federal law. But that’s what happened April 23 as ...
We are adopting revisions to forms filed under the Securities Exchange Act of 1934 (“Exchange Act”) to eliminate the portion of those forms that requests ...
An advantage found in the SEC’s proposed interpretation of the IA fiduciary duty is that the legal concept now gets brushed together all in one ...
Four pages may seem incredibly short when you have to stuff it with reams of data and required language while keeping it “easy to read” ...
Several cites – including Atlanta, Denver, Houston and Miami – will soon be hosting “roundtables” featuring SEC staff and local retail investors. The idea is ...
Last week, we listed what actions an RIA must take when moving from state registration to SEC registration (IA Watch, April 19, 2018). Our series ...
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