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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.
Another brick in the SEC’s road in regulating securities-based swaps would be laid down in a new proposed rule requiring swap data repositories to share ...
Sometimes, it seems, technology creates more problems than it solves. It’s relatively easy, for instance, to archive tens of millions of e-mails and other communications. ...
A new final rule from the CFTC would require commodity pool operators, certain commodity trading advisors and introducing brokers to either become or remain a ...
Sometimes the regulatory obligation falls to another party but ends up involving you anyway. So it is with the CFTC’s ownership and control report rule. ...
The Public Company Accounting Oversight Board published late last month its first staff inspection report detailing the objectives, focus and scope of its ongoing inspections ...
This is a copy of an SEC exam document request letter that went to an adviser in 2015. Note: The letter comes from an examiner ...
The proposal would amend Exchange Act rule 13n-4 related to regulatory access to security-based swap data held by security-based swap data repositories. The proposed rule ...
The words of Ray Lucia once could be heard from coast to coast. He touted the benefits of his Buckets of Money® presentation on a ...
The SEC seeks data through numerous forms. Three that have been around a long time are Forms 3, 4 and 5. They concern ownership of ...
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