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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.
A peer shares an example of a form that provides details of a cross trade.
Coming up with a workable industry benchmark for a compliance budget – given the variety of business models and firm sizes – can be harder ...
This one stemmed from an OCIE exam launched in 2015.
Confusion over the custody rule continues to reign more than five years after the SEC revised the rule. And even OCIE examiners don’t always agree ...
For months, you’ve heard the dire warnings from many in the industry about the real world effects should the Department of Labor’s fiduciary duty proposal ...
A need exists to develop “criteria and thresholds” that could trigger joint action by the financial services industry and the government in the event of ...
The SEC again extended the deadline for broker-dealers having to comply with the final phase of the large trader rule, and raised the possibility it ...
Only days after the SEC proposed a rule to shed light on dark pools (IA Watch, Nov. 19, 2015), the CFTC put forth a new ...
Bowing to judicial reality in the wake of the Newman decision (IA Watch, Oct. 15, 2015), the SEC two days before Thanksgiving dismissed its insider ...
Now that the SEC has cleared the way for equity crowdfunding (IA Watch, Oct. 30, 2015), will it be able to keep a level playing ...
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