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ARTICLE · 26 SEPTEMBER 2013

SEC Releases Small Entity Compliance Guide For Bad Actor Rules

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The SEC guide (see: http://www.sec.gov/info/smallbus/secg/bad-actor-small-entity-compliance-guide.htm) provides useful guidance for firms seeking to comply with the bad actor rule, which becomes effective September 23.

United StatesCorporate/Commercial Law

The SEC guide (see:  http://www.sec.gov/info/smallbus/secg/bad-actor-small-entity-compliance-guide.htm) provides useful guidance for firms seeking to comply with the bad actor rule, which becomes effective September 23.

Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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