17 CFR 202.8: Small entity compliance guides.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
- PART 202—INFORMAL AND OTHER PROCEDURES
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. 1
(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.
Collected 2026-08-27T02:24:31Z. Source file · JSON