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