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17 C.F.R. § 202.8   Small entity compliance guides.

Title 17 - Commodity and Securities Exchanges

Title 17: Commodity and Securities Exchanges
PART 202—INFORMAL AND OTHER PROCEDURES

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§ 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.¹

¹ These items are also available on the Securities and Exchange Commission Web site on the Internet, http://www.sec.gov.

(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.

[62 FR 4105, Jan. 28, 1997]

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