§202.8. Small entity compliance guides.
17 C.F.R. § 202.8
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
The Work of the SEC. 1
Broker-Dealer Registration Package.
Investment Adviser Registration Package.
Investment Company Registration Package.
Examination Information for Broker-Dealers, Transfer Agents, Investment Advisers and Investment Companies.
Notes, amendments, and revision history
Amendments
[62 FR 4105, Jan. 28, 1997]
Authority
Authority: 15 U.S.C. 77s, 77t, 77sss, 77uuu, 78d-1, 78u, 78w, 80a-37, 80a-41, 80b-9, 80b-11, and 7202, unless otherwise noted. Section 202.9 is also issued under sec. 223, 110 Stat. 859 (Mar. 29, 1996).
Source
Source: 25 FR 6736, July 15, 1960, unless otherwise noted.
Amendments
[62 FR 4105, Jan. 28, 1997]