17 CFR 202.8 – Small entity compliance guides
Current as of: 2024 | Check for updates
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The following small entity compliance guides are available to the public from the Commission’s Publications Room and regional offices:
(a) Q & A: Small Business and the SEC.
(b) The Work of the SEC.
(c) Broker-Dealer Registration Package.
(d) Investment Adviser Registration Package.
(e) Investment Company Registration Package.
(f) Examination Information for Broker-Dealers, Transfer Agents, Investment Advisers and Investment Companies.