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  1. LII
  2. Electronic Code of Federal Regulations (e-CFR)
  3. Title 13—Business Credit and Assistance
  4. CHAPTER I—SMALL BUSINESS ADMINISTRATION
  5. PART 107—SMALL BUSINESS INVESTMENT COMPANIES
  6. Subpart E—Managing the Operations of a Licensee

13 CFR Part 107 - Subpart E - Managing the Operations of a Licensee

  • CFR
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  1. General Requirements (§§ 107.500 - 107.509)
    1. § 107.500 Lawful operations under the Act.
    2. § 107.501 Identification.
    3. § 107.502 Representations to the public.
    4. § 107.503 Licensee's adoption of an approved valuation policy.
    5. § 107.504 Equipment and office requirements.
    6. § 107.506 Safeguarding Licensee's assets/Internal controls.
    7. § 107.507 Violations based on false filings and nonperformance of agreements with SBA.
    8. § 107.509 Employment of SBA officials.
  2. Management and Compensation (§§ 107.510 - 107.520)
    1. § 107.510 SBA approval of Licensee's Investment Adviser/Manager.
    2. § 107.520 Management Expenses of a Licensee.
  3. Cash Management by a Licensee (§ 107.530)
    1. § 107.530 Restrictions on investments of idle funds by leveraged Licensees.
  4. Borrowing by Licensees From Non-SBA Sources (§§ 107.550 - 107.570)
    1. § 107.550 Prior approval of secured third-party debt of Leveraged Licensees.
    2. § 107.560 Subordination of SBA's creditor position.
    3. § 107.565 Restrictions on third-party debt of Early Stage SBICs.
    4. § 107.570 [Reserved]
  5. Distributions and Reductions in Regulatory Capital (§ 107.585)
    1. § 107.585 Distributions and reductions in Regulatory Capital.
  6. Requirement To Conduct Active Investment Operations (§ 107.590)
    1. § 107.590 Licensee's requirement to maintain active operations.

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