Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.202.8 Small entity compliance guides

(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

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

(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.