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Carl Ayers

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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.
These new regulations, called for by Dodd-Frank, create new or amended rules, guidance, and acceptable practices that apply to the designation and operation of contract ...
Section 205(a)(2) of the Advisers Act generally makes it unlawful for an SEC-registered adviser to enter into or perform any investment advisory contract unless the ...
Biography of Carl Ayers
This final rule introduces the Dodd-Frank reforms to require documentation between a customer and a futures commission merchant on clearing trades.
Sections 205(a)(2) and (3) of the Advisers Act generally prohibit registered advisers, and advisers required to be registered, from entering into, extending, renewing, or performing ...
An open-end or closed-end investment company ("fund") registered under the Investment Company Act of 1940 ("Investment Company Act") may seek to arrange a secured financing ...
These are technical amendments to the accredited investor standard under Regulation D.
The Commission adopted new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd- Frank for entities registered ...
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