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Carl Ayers

http://www.regcompliancewatch.com
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.

Association for Investment Management and Research (AIMR)

Investment Advisers
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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 Ayco Company L.P. SEC No-Action Letter

Investment Advisers
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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 ...

SEC No-Action Letter: 1992 letter permits Schwab to receive fees from mutual funds in...

Investment Advisers
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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 ...

Interpretive Release Concerning the Scope of Section 28(e) of the Securities Exchange Act of...

Investment Advisers
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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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