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How Can I Get Answers from the SEC about Small Business Questions?
The SEC tries to meet the needs of small business through its rules and regulations. It also offers informal guidance by answering your questions over the phone, through the mail or by e-mail. The SEC offers you a number of ways to express your views and get help from the staff. Of course, you should always retain competent counsel before engaging in any securities offering.
Special Ombudsman to Serve You
In 1996, the SEC appointed a Special Ombudsman for Small Business to serve you and to represent the concerns of smaller companies within the SEC. You can tell the Ombudsman your concerns about any SEC proposal or rule. The Ombudsman also can answer your general questions or help you find the answers to your specific questions. The Ombudsman's telephone number is (202) 551-3460.
The Office of Small Business
The Division of Corporation Finance's Office of Small Business directs the SEC's small business rulemaking initiatives and comments on SEC rule proposals affecting small companies. Its staff works with Congressional committees, government agencies, and other groups concerned with small business. The Office also specializes in the review of filings from small companies. Its telephone number is (202) 551-3460.
Town Hall Meetings
The Office of Small Business also sponsors small business town hall meetings across the country. These meetings help the SEC convey basic information to small businesses and learn more about the problems small businesses face in raising capital. These meetings help the SEC design programs that meet small businesses' needs while protecting investors.
Government-Business Forum on Small Business Capital Formation
In addition to the town hall meetings, the SEC sponsors the Government-Business Forum on Small Business Capital Formation. This annual meeting provides the only national forum for small businesses to let government officials from different parts of the federal government know how the laws, rules and regulations impact the ability of small companies to raise capital. You can get more information about this forum from the Office of Small Business.
Internet Web Site
We also maintain a home page on the World Wide Web at http://www.sec.gov. Our site includes recent SEC releases and other updating information of interest to small companies. Through our Web site, small companies and investors can also find documents publicly filed on the SEC's Electronic Data Gathering, Analysis, and Retrieval, or EDGAR, system. Most registration statements and other documents must now be filed electronically via that system.
Source: Securities and Exchange Commission