SEC Highlights Resources for Small Companies

Journal of Accountancy, June 1997 | Go to article overview

SEC Highlights Resources for Small Companies


The Securities and Exchange Commission issued a policy statement outlining its informal guidance program (which includes publications, responses to inquiries by telephone and computer and interpretive letters) for small entities. The Small Business Regulatory Enforcement Fairness Act of 1996 requires the agency to review the various ways it provides informal compliance guidance to ensure it is responding effectively to the needs of small companies.

After determining it was in compliance with the act, the SEC issued the policy statement as a comprehensive resource for small companies that need information or advice. The statement lists the following divisions at the SEC headquarters in Washington, D.C., that facilitate informal guidance:

* The Division of Investment Management, which responds to telephone and written inquiries relating to investment companies and investment advisers (telephone: 202-942-0659; or write to Division of Investment Management, 450 5th Street, N.W., Washington, D.C. 20549).

* The Division of Market Regulation, which responds to telephone and e-mail inquiries on securities markets, including exchanges and market intermediaries, such as broker-dealers and transfer agents (202-942-0073; e-mail: marketreg@sec.gov).

* The Division of Corporation Finance, which responds to telephone inquiries on small business matters through its Office of Small Business (202-942-2950), or all other inquiries about the offer and sale of securities as well as issuer and ownership reporting and stockholder voting (202-942-2900; e-mail: e-prospectus@sec. …

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