|
Section 107.50
|
Organizing a Section 301(c) Licensee |
|
Section 107.100
|
Adequate capital for Licensees |
|
Section 107.200
|
License application form and fee |
|
Section 107.300
|
Changes in ownership of 10 percent or more of Licensee but no change of Control |
|
Section 107.400
|
Restrictions on Common Control or ownership of two (or more) Licensees |
|
Section 107.460
|
SBA approval of merger, consolidation, or reorganization of Licensee |
|
Section 107.470
|
Transfer of license |
|
Section 107.475
|
Lawful operations under the Act |
|
Section 107.500
|
Safeguarding Licensee's assets/Internal controls |
|
Section 107.506
|
SBA approval of Licensee's Investment Adviser/Manager |
|
Section 107.510
|
Restrictions on investments of idle funds by leveraged Licensees |
|
Section 107.530
|
Prior approval of secured third-party debt of leveraged Licensees |
|
Section 107.550
|
Voluntary decrease in Licensee's Regulatory Capital |
|
Section 107.585
|
Licensee's requirement to maintain active operations |
|
Section 107.590
|
General requirement for Licensee to maintain and preserve records |
|
Section 107.600
|
Requirement for Licensees to file financial statements with SBA (Form 468) |
|
Section 107.630
|
Examinations |
|
Section 107.690
|
Compliance with size standards in part 121 of this chapter as a condition of Assistance |
|
Section 107.700
|
Financings in the form of Equity Securities |
|
Section 107.800
|
Minimum duration/term of financing |
|
Section 107.830
|
Disposition of assets to Licensee's Associates or to competitors of Portfolio Concern |
|
Section 107.885
|
Management fees for services provided to a Small Business by Licensee or its Associate |
|
Section 107.900
|
Licensees without leverage--exceptions to the regulations |
|
Section 107.1000
|
Types of Leverage and application procedures |
|
Section 107.1100
|
Maximum amount of Leverage for a Section 301(c) Licensee |
|
Section 107.1150
|
Required distributions to SBA by Early Stage SBICs |
|
Section 107.1180
|
SBA's Leverage commitment to a Licensee--application procedure, amount, and term |
|
Section 107.1200
|
Dividends or partnership distributions on 4 percent Preferred Securities |
|
Section 107.1400
|
General description of Participating Securities |
|
Section 107.1500
|
SBA authority to issue and guarantee Trust Certificates |
|
Section 107.1600
|
Transfer by SBA of its interest in Licensee's Leverage security |
|
Section 107.1700
|
Licensee's agreement to terms and conditions in Secs |
|
Section 107.1800
|
Licensee's Capital Impairment--definition and general requirements |
|
Section 107.1830
|
Surrender of license |
|
Section 107.1900
|
Non-waiver of SBA's rights or terms of Leverage security |
|
Section 107.1910
|
Legal basis and applicability of this part 107 |
|
Section 107.20
|
Amendments to Act and regulations |
|
Section 107.30
|
How to read this part 107 |
|
Section 107.40
|
Definition of terms |
|
Section 107.50
|
Organizing a Section 301(c) Licensee |
|
Section 107.100
|
Special rules for a Section 301(d) Licensee owned by another Licensee |
|
Section 107.120
|
Requirement for qualified management |
|
Section 107.130
|
SBA approval of initial Management Expenses |
|
Section 107.140
|
Management-ownership diversity requirement |
|
Section 107.150
|
Special rules for Licensees formed as limited partnerships |
|
Section 107.160
|
Adequate capital for Licensees |
|
Section 107.200
|
Minimum capital requirements for Licensees |
|
Section 107.210
|
Permitted sources of Private Capital for Licensees |
|
Section 107.230
|
Limitations on including non-cash capital contributions in Private Capital |
|
Section 107.240
|
Exclusion of stock options issued by Licensee from Management Expenses |
|
Section 107.250
|
License application form and fee |
|
Section 107.300
|
Evaluation of license applicants |
|
Section 107.305
|
When and how to apply for licensing as an Early Stage SBIC |
|
Section 107.310
|
Evaluation of Early Stage SBICs |
|
Section 107.320
|
Changes in ownership of 10 percent or more of Licensee but no change of Control |
|
Section 107.400
|
Changes in Control of Licensee (through change in ownership or otherwise) |
|
Section 107.410
|
Prohibition on exercise of ownership or Control rights in Licensee before SBA approval |
|
Section 107.420
|
Notification to SBA of transactions that may change ownership or Control |
|
Section 107.430
|
Standards governing prior SBA approval for a proposed transfer of Control |
|
Section 107.440
|
Notification to SBA of pledge of Licensee's shares |
|
Section 107.450
|
Restrictions on Common Control or ownership of two (or more) Licensees |
|
Section 107.460
|
SBA approval of merger, consolidation, or reorganization of Licensee |
|
Section 107.470
|
Transfer of license |
|
Section 107.475
|
Lawful operations under the Act |
|
Section 107.500
|
Identification as a Licensee |
|
Section 107.501
|
Representations to the public |
|
Section 107.502
|
Licensee's adoption of an approved valuation policy |
|
Section 107.503
|
Equipment and office requirements |
|
Section 107.504
|
Safeguarding Licensee's assets/Internal controls |
|
Section 107.506
|
Violations based on false filings and nonperformance of agreements with SBA |
|
Section 107.507
|
Employment of SBA officials |
|
Section 107.509
|
SBA approval of Licensee's Investment Adviser/Manager |
|
Section 107.510
|
Management Expenses of a Licensee |
|
Section 107.520
|
Restrictions on investments of idle funds by leveraged Licensees |
|
Section 107.530
|
Prior approval of secured third-party debt of leveraged Licensees |
|
Section 107.550
|
Subordination of SBA's creditor position |
|
Section 107.560
|
Restrictions on third-party debt of Early Stage SBICs |
|
Section 107.565
|
Restrictions on third-party debt of issuers of Participating Securities |
|
Section 107.570
|
Voluntary decrease in Licensee's Regulatory Capital |
|
Section 107.585
|
Licensee's requirement to maintain active operations |
|
Section 107.590
|
General requirement for Licensee to maintain and preserve records |
|
Section 107.600
|
Required certifications for Loans and Investments |
|
Section 107.610
|
Requirements to obtain information from Portfolio Concerns |
|
Section 107.620
|
Requirement for Licensees to file financial statements with SBA (Form 468) |
|
Section 107.630
|
Requirement to file Portfolio Financing Reports (SBA Form 1031) |
|
Section 107.640
|
Requirement to report portfolio valuations to SBA |
|
Section 107.650
|
Other items required to be filed by Licensee with SBA |
|
Section 107.660
|
Application for exemption from civil penalty for late filing of reports |
|
Section 107.670
|
Reporting changes in Licensee not subject to prior SBA approval |
|
Section 107.680
|
Examinations |
|
Section 107.690
|
Responsibilities of Licensee during examination |
|
Section 107.691
|
Examination fees |
|
Section 107.692
|
Compliance with size standards in part 121 of this chapter as a condition of Assistance |
|
Section 107.700
|
Requirement to finance smaller enterprises |
|
Section 107.710
|
Small Businesses that may be ineligible for financing |
|
Section 107.720
|
Financings which constitute conflicts of interest |
|
Section 107.730
|
Portfolio diversification (``overline'' limitation) |
|
Section 107.740
|
Conditions for financing a change of ownership of a Small Business |
|
Section 107.750
|
How a change in size or activity of a Portfolio Concern affects the Licensee and the Portfolio Concern |
|
Section 107.760
|
Financings in the form of Equity Securities |
|
Section 107.800
|
Financings in the form of Loans |
|
Section 107.810
|
Financings in the form of Debt Securities |
|
Section 107.815
|
Financings in the form of guarantees |
|
Section 107.820
|
Purchasing securities from an underwriter or other third party |
|
Section 107.825
|
Minimum duration/term of financing |
|
Section 107.830
|
Exceptions to minimum duration/term of Financing |
|
Section 107.835
|
Maximum term of Financing |
|
Section 107.840
|
Maximum rate of amortization on Loans and Debt Securities |
|
Section 107.845
|
Restrictions on redemption of Equity Securities |
|
Section 107.850
|
Interest rate ceiling and limitations on fees charged to Small Businesses (``Cost of Money'') |
|
Section 107.855
|
Financing fees and expense reimbursements a Licensee may receive from a Small Business |
|
Section 107.860
|
Control of a Small Business by a Licensee |
|
Section 107.865
|
Assets acquired in liquidation of Portfolio securities |
|
Section 107.880
|
Disposition of assets to Licensee's Associates or to competitors of Portfolio Concern |
|
Section 107.885
|
Management fees for services provided to a Small Business by Licensee or its Associate |
|
Section 107.900
|
Licensees without Leverage--exceptions to the regulations |
|
Section 107.1000
|
Types of Leverage and application procedures |
|
Section 107.1100
|
General eligibility requirements for Leverage |
|
Section 107.1120
|
Leverage fees and additional charges payable by Licensee |
|
Section 107.1130
|
Licensee's acceptance of SBA remedies under Secs |
|
Section 107.1140
|
Maximum amount of Leverage for a Section 301(c) Licensee |
|
Section 107.1150
|
Maximum amount of Leverage for a Section 301(d) Licensee |
|
Section 107.1160
|
Maximum amount of Participating Securities for any Licensee |
|
Section 107.1170
|
Required distributions to SBA by Early Stage SBICs |
|
Section 107.1180
|
Interest reserve requirements for Early Stage SBICs |
|
Section 107.1181
|
Valuation requirements for Early Stage SBICs based on Capital Impairment Percentage |
|
Section 107.1182
|
SBA's Leverage commitment to a Licensee--application procedure, amount, and term |
|
Section 107.1200
|
Payment of leverage fee upon receipt of commitment |
|
Section 107.1210
|
Requirement for Licensee to file quarterly financial statements |
|
Section 107.1220
|
Draw-downs by Licensee under SBA's Leverage commitment |
|
Section 107.1230
|
Funding of Licensee's draw request through sale to short-term investor |
|
Section 107.1240
|
Dividends or partnership distributions on 4 percent Preferred Securities |
|
Section 107.1400
|
Requirement to redeem 4 percent Preferred Securities |
|
Section 107.1410
|
Articles requirements for 4 percent Preferred Securities |
|
Section 107.1420
|
Redeeming 4 percent Preferred Securities with proceeds of non-subsidized Debentures |
|
Section 107.1430
|
Three percent preferred stock issued before November 21, 1989 |
|
Section 107.1440
|
Optional redemption of Preferred Securities |
|
Section 107.1450
|
General description of Participating Securities |
|
Section 107.1500
|
Liquidity requirements for Licensees issuing Participating Securities |
|
Section 107.1505
|
How a Licensee computes Earmarked Profit (Loss) |
|
Section 107.1510
|
How a Licensee computes and allocates Prioritized Payments to SBA |
|
Section 107.1520
|
How a Licensee computes SBA's Profit Participation |
|
Section 107.1530
|
Distributions by Licensee--Prioritized Payments and Adjustments |
|
Section 107.1540
|
Distributions by Licensee--permitted ``tax Distributions'' to private investors and SBA |
|
Section 107.1550
|
Distributions by Licensee--required Distributions to private investors and SBA |
|
Section 107.1560
|
Distributions by Licensee--optional Distribution to private investors and SBA |
|
Section 107.1570
|
Distributions on other than Payment Dates |
|
Section 107.1575
|
Special rules for In-Kind Distributions by Licensees |
|
Section 107.1580
|
Exchange of Debentures for Participating Securities |
|
Section 107.1585
|
Special rules for companies licensed on or before March 31, 1993 |
|
Section 107.1590
|
SBA authority to issue and guarantee Trust Certificates |
|
Section 107.1600
|
Effect of prepayment or early redemption of Leverage on a Trust Certificate |
|
Section 107.1610
|
Functions of agents, including Central Registration Agent, Selling Agent and Fiscal Agent |
|
Section 107.1620
|
SBA regulation of Brokers and Dealers and disclosure to purchasers of Leverage or Trust Certificates |
|
Section 107.1630
|
SBA access to records of the CRA, Brokers, Dealers and Pool or Trust assemblers |
|
Section 107.1640
|
Transfer by SBA of its interest in Licensee's Leverage security |
|
Section 107.1700
|
SBA authority to collect or compromise its claims |
|
Section 107.1710
|
Characteristics of SBA's guarantee |
|
Section 107.1720
|
Licensee's agreement to terms and conditions in Secs |
|
Section 107.1800
|
Events of default and SBA's remedies for Licensee's noncompliance with terms of Debentures |
|
Section 107.1810
|
Conditions affecting issuers of Preferred Securities and/or Participating Securities |
|
Section 107.1820
|
Licensee's Capital Impairment--definition and general requirements |
|
Section 107.1830
|
Computation of Licensee's Capital Impairment Percentage |
|
Section 107.1840
|
Determination of Capital Impairment Percentage for Early Stage SBICs |
|
Section 107.1845
|
Exceptions to Capital Impairment provisions for Licensees with outstanding Participating Securities |
|
Section 107.1850
|
Surrender of license |
|
Section 107.1900
|
Non-waiver of SBA's rights or terms of Leverage security |
|
Section 107.1910
|
Licensee's application for exemption from a regulation in this part 107 |
|
Section 107.1920
|
Effect of changes in this part 107 on transactions previously consummated |
|
Section 107.1930
|
Definition of terms |