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Small Business Compliance Guides

The following small business compliance guides provide information on SEC rules related to offering and selling securities as well as on financial and other reporting by publicly traded companies.

Information on SEC rules relating to the small entities listed in the left column below may be located through the link to the information provided by the SEC operating division or office listed in the corresponding right column.

Type of Small EntityLocate Information Through
Securities broker, dealer, transfer agent, exchange or other market, clearing agency or rating agencyDivision of Trading and Markets
Investment company or investment adviserDivision of Investment Management
Public company auditorOffice of the Chief Accountant

Modified: 04/21/2017