Home Authors Posts by Carl Ayers

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.
RIAs are under no obligations under the Advisers Act to return a client's forms for these legal actions
Section 18(f)(1) generally prohibits a registered open-end investment company or series thereof (“Fund”) from issuing any “senior security.” Section 18(g) of the Investment Company Act ...
The staff has been asked whether an investment company registered under the Investment Company Act of 1940 ("Investment Company Act") or a company that has ...
Merrill Lynch settled this case that it violated the Advisers Act books and records rule by failing to maintain records of the offer to deliver ...
Start gathering your documents as soon as you receive the letter – the SEC’s notice that its examiners are coming and the list of materials ...
This is the widely-publicized case of a number of Fidelity broker-dealer reps who settled for accepting extravagant gifts and entertainment. This case is from 2008.
This SEC Division of Investment Management no-action letter deals with use of performance data from a PM's prior firm being applied to an advertisement.

Copyright PEI Media

Not for publication, email or dissemination