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.
The order, tied to the coronavirus, also extends to Form PF filings
Boggs misappropriated his clients’ money by selling securities in their advisory accounts and then transferring the proceeds to his personal credit card account
HSBC Securities provided false and misleading disclosures to clients about its IARs’ conflicts because it stated that IARs did not receive compensation based on advisory ...
It is not a rule, regulation, or statement of the Securities and Exchange Commission. The Commission has neither approved nor disapproved its content.
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BMA Securities violated the rule on hundreds of occasions by failing to close out allocated fail to deliver positions
You may not include disclosure in the relationship summary other than disclosure that is required
The SEC has been reaching out to firms to talk about COVID-19