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Contacting the SEC Office of Small Business Policy

July 14, 2017

The SEC's Office of Small Business Policy (OSBP) in its Division of Corporation Finance answers questions on disclosure and other issues relating to smaller public companies, including those classified as "smaller reporting companies," and on limited, private, and intrastate offerings of securities. Examples of specific topics about which OSBP answers questions include:

  • Regulation D — Rules 504, 505, and 506 — and Form D

  • Section 3(a)(11) and Rule 147 — intrastate securities offerings

  • Rule 701 — equity incentive compensation for employees of non-Exchange Act reporting companies, both domestic and foreign

  • Regulation A

OSBP also processes requests for waivers of disqualification arising under Rule 262 of Regulation A and Rule 505(b)(2)(iii) and Rule 506(d)(2)(ii) of Regulation D.

In addition, OSBP reaches out to smaller companies to facilitate capital formation. These efforts include coordinating the annual SEC Government-Business Forum on Small Business Capital Formation, which focuses on the current status of issues and programs related to small business capital formation.

OSBP welcomes comments and questions. If you would like more specific information, or have questions or comments about federal securities regulations as they affect small business, you can submit a request to OSBP using an online request form. You can also use the following contact information for the office:

Office of Small Business Policy
U.S. Securities and Exchange Commission
100 F Street, N.E.
Washington, D.C. 20549-3628

When mailing correspondence to the Office of Small Business Policy, please provide a working phone number where the office staff may reach you.

In addition, OSBP acts as the Division's liaison to the state securities regulators and American Indian and Alaska Native tribal governments on corporate finance issues and the Small Business Administration. OSBP assists in and reviews rulemaking initiatives, as well as other Commission actions, which may have small business implications.

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