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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.
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.
This no-action letter relates to showing predecessor performance data in advertising and marketing.
This no-action letter concerns section 205(2) of the Advisers Act.
This SEC no-action letter addresses use of predecessor performance data in advertising and marketing.
This SEC no-action letter provides guidance on use of performance data achieved prior to joining a firm, for advertising and marketing purposes.
This SEC final rule makes amendments to require a registered management investment company to provide disclosure in its reports to shareholders regarding the material factors ...
This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers.
If a fund has not adopted a rule 12b-1 plan, then it cannot use fund assets to pay for services that are primarily intended to ...
The SEC rejects a commissions-relationship by reps who aren't registered.
This 1996 no-action letter helps to define what net-of-fee performance data means. The SEC, in this correspondence, held that it include all transaction costs and ...

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