Information for Small Businesses

This page provides shortcuts to information for smaller companies on their legal obligations when they sell securities and on their financial and other reporting obligations when their securities are publicly traded. For similar information from an investor's perspective, please visit Investor.gov. For guidance on contracting with the SEC, read Doing Business with the SEC.

Getting Started

• Small Business and the SEC (UPDATED 12/21/12)
• What the SEC Does

Resources and Tools

• Forms and Regulations
• Information on SEC Filings for Smaller Reporting Companies
  • Changeover to the SEC's New Smaller Reporting Company System by Small Business Issuers and Non-Accelerated Filer Companies: A Small Entity Compliance Guide
  • Financial Reporting Guidance
    • Common Financial Reporting Issues Facing Smaller Reporting Companies
    • Financial Institutions — Areas of Frequent Staff Comment
  • Staff Observations in the Review of Smaller Reporting Company IPOs
  • Submitting Information in XBRL Format
  • Smaller Reporting Company Compliance and Disclosure Interpretations
  • SEC Release Adopting Smaller Reporting Company Requirements
  • Suspending SEC Reporting Obligations
• Information on Private and Limited Offerings of Securities
  • Ways to Offer and Sell Securities Without Registering with the SEC
  • SEC Staff Compliance and Disclosure Interpretations on Regulation D
  • SEC Release Proposing to Revise Regulation D
• Filing and Amending a Form D Notice
• Small Business Compliance Guides
• Forum on Small Business Capital Formation
• Federal/State Cooperation on Small Business
• Pending Rules and Other Initiatives
• Completed Rulemaking and Other Initiatives
• Requesting Waiver of Rule 262/505 Disqualification

Links

• U.S. Business Advisor
• IRS List of Small Business Resources
• U.S. Small Business Administration
• State Securities Regulators
• Securities Exchanges
• Over-the-Counter Market

Contact

• SEC Office of Small Business Policy
• Other SEC Offices and Divisions
• SEC Tip and Complaint Center
• SEC E-Mail Update Service (Including Small Business Updates)
• Other Questions and Comments
• Contracting with SEC

Modified: 12/26/2012