Title 13
PART 107 SUBPART E
Subpart E - Managing the Operations of a Licensee
- 15 U.S.C. 681, 683, 687(c), 687b, 687d, 687g, 687m.
- 61 FR 3189, Jan. 31, 1996, unless otherwise noted.
| 13:1.0.1.1.7.5.42 | SUBJGRP 42 | General Requirements | |
| 13:1.0.1.1.7.5.42.1 | SECTION 107.500 | 107.500 Lawful operations under the Act. | |
| 13:1.0.1.1.7.5.42.2 | SECTION 107.501 | 107.501 Identification as a Licensee. | |
| 13:1.0.1.1.7.5.42.3 | SECTION 107.502 | 107.502 Representations to the public. | |
| 13:1.0.1.1.7.5.42.4 | SECTION 107.503 | 107.503 Licensee's adoption of an approved valuation policy. | |
| 13:1.0.1.1.7.5.42.5 | SECTION 107.504 | 107.504 Equipment and office requirements. | |
| 13:1.0.1.1.7.5.42.6 | SECTION 107.506 | 107.506 Safeguarding Licensee's assets/Internal controls. | |
| 13:1.0.1.1.7.5.42.7 | SECTION 107.507 | 107.507 Violations based on false filings and nonperformance of agreements with SBA. | |
| 13:1.0.1.1.7.5.42.8 | SECTION 107.509 | 107.509 Employment of SBA officials. | |
| 13:1.0.1.1.7.5.43 | SUBJGRP 43 | Management and Compensation | |
| 13:1.0.1.1.7.5.43.9 | SECTION 107.510 | 107.510 SBA approval of Licensee's Investment Adviser/Manager. | |
| 13:1.0.1.1.7.5.43.10 | SECTION 107.520 | 107.520 Management Expenses of a Licensee. | |
| 13:1.0.1.1.7.5.44 | SUBJGRP 44 | Cash Management by a Licensee | |
| 13:1.0.1.1.7.5.44.11 | SECTION 107.530 | 107.530 Restrictions on investments of idle funds by leveraged Licensees. | |
| 13:1.0.1.1.7.5.45 | SUBJGRP 45 | Borrowing by Licensees From Non-SBA Sources | |
| 13:1.0.1.1.7.5.45.12 | SECTION 107.550 | 107.550 Prior approval of secured third-party debt of leveraged Licensees. | |
| 13:1.0.1.1.7.5.45.13 | SECTION 107.560 | 107.560 Subordination of SBA's creditor position. | |
| 13:1.0.1.1.7.5.45.14 | SECTION 107.565 | 107.565 Restrictions on third-party debt of Early Stage SBICs. | |
| 13:1.0.1.1.7.5.45.15 | SECTION 107.570 | 107.570 Restrictions on third-party debt of issuers of Participating Securities. | |
| 13:1.0.1.1.7.5.46 | SUBJGRP 46 | Voluntary Decrease in Licensee's Regulatory Capital | |
| 13:1.0.1.1.7.5.46.16 | SECTION 107.585 | 107.585 Voluntary decrease in Licensee's Regulatory Capital. | |
| 13:1.0.1.1.7.5.47 | SUBJGRP 47 | Requirement To Conduct Active Investment Operations | |
| 13:1.0.1.1.7.5.47.17 | SECTION 107.590 | 107.590 Licensee's requirement to maintain active operations. |