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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 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 ...
The SEC's Division of Investment Management granted Ayco Company "no-action" relief based on its request not to include in its advisory contracts a provision that ...
Because Schwab purchases and redeems MFMP investment company shares on behalf of its customers solely as broker Section 22ds restrictions do not apply to Schwab's ...
This marks one of the earliest SEC interpretive releases related to guidance around use of soft dollars and best execution. This hails from 1986.

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