Title 13

PART 107 SUBPART C

Subpart C - Qualifying for an SBIC License

• 15 U.S.C. 681, 683, 687(c), 687b, 687d, 687g, 687m.
• 61 FR 3189, Jan. 31, 1996, unless otherwise noted.

13:1.0.1.1.7.3.35	SUBJGRP 35	Organizing an SBIC
13:1.0.1.1.7.3.35.1	SECTION 107.100	107.100 Organizing a Section 301(c) Licensee.
13:1.0.1.1.7.3.35.2	SECTION 107.115	107.115 1940 Act and 1980 Act Companies.
13:1.0.1.1.7.3.35.3	SECTION 107.120	107.120 Special rules for a Section 301(d) Licensee owned by another Licensee.
13:1.0.1.1.7.3.35.4	SECTION 107.130	107.130 Requirement for qualified management.
13:1.0.1.1.7.3.35.5	SECTION 107.140	107.140 SBA approval of initial Management Expenses.
13:1.0.1.1.7.3.35.6	SECTION 107.150	107.150 Management-ownership diversity requirement.
13:1.0.1.1.7.3.35.7	SECTION 107.160	107.160 Special rules for Licensees formed as limited partnerships.
13:1.0.1.1.7.3.36	SUBJGRP 36	Capitalizing an SBIC
13:1.0.1.1.7.3.36.8	SECTION 107.200	107.200 Adequate capital for Licensees.
13:1.0.1.1.7.3.36.9	SECTION 107.210	107.210 Minimum capital requirements for Licensees.
13:1.0.1.1.7.3.36.10	SECTION 107.230	107.230 Permitted sources of Private Capital for Licensees.
13:1.0.1.1.7.3.36.11	SECTION 107.240	107.240 Limitations on including non-cash capital contributions in Private Capital.
13:1.0.1.1.7.3.36.12	SECTION 107.250	107.250 Exclusion of stock options issued by Licensee from Management Expenses.
13:1.0.1.1.7.3.37	SUBJGRP 37	Applying for an SBIC License
13:1.0.1.1.7.3.37.13	SECTION 107.300	107.300 License application form and fee.
13:1.0.1.1.7.3.37.14	SECTION 107.305	107.305 Evaluation of license applicants.
13:1.0.1.1.7.3.37.15	SECTION 107.310	107.310 When and how to apply for licensing as an Early Stage SBIC.
13:1.0.1.1.7.3.37.16	SECTION 107.320	107.320 Evaluation of Early Stage SBICs.

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