§ 202.8 Small entity compliance guides.
Primary source
Verbatim text below is from the Electronic Code of Federal Regulations (eCFR), a public-domain U.S. government work. Always verify the current version with the eCFR before relying on it for any legal matter.
Full Text
The following small entity compliance guides are available to the public from the Commission's Publications Room and regional offices:
Q & A: Small Business and the SEC.1(a)
The Work of the SEC.1(b)
Broker-Dealer Registration Package.(c)
Investment Adviser Registration Package.(d)
Investment Company Registration Package.(e)
Examination Information for Broker-Dealers, Transfer Agents, Investment Advisers and Investment Companies.(f)
1http://www.sec.gov. These items are also available on the Securities and Exchange Commission Web site on the Internet,
[62 FR 4105, Jan. 28, 1997]
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.