17 CFR 202.8
§ 202.8 Small entity compliance guides.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 202.8, § 202.8 Small entity compliance guides, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/68167
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Full text
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.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.