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 any SEC rules relating to the small entities listed in the left column below may be located through the link to the home page of the SEC operating division or office listed in the corresponding right column.
Type of Small Entity
Locate Information Through
Securities broker, dealer, transfer agent, exchange or other market, clearing agency or rating agency