Small entity compliance guides.

17 C.F.R. § 202.8
in effectEffective: 2024-07-01
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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 (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.

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