17 C.F.R. § 202.8

Current through October 31, 2024

Section 202.8 - Small entity compliance guides

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.¹

(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.

17 C.F.R. §202.8

62 FR 4105, Jan. 28, 1997