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Tech Notes & Policy Letters
Policy Letters
- Impact Investment Policy Letter – April 2011: Policy letter outlining the major elements of the Investment Division’s new Impact Investment Initiative.
- Buyout of Participating Securities SBICs Policy Letter – January 2011: Policy letter describing the changes to SBA’s policy regarding “buyouts” of Small Business Investment Companies (“SBICs”) with outstanding participating securities leverage.
- Refinancing Policy Letter
Tech Notes
View by Category:
Credit and Risk Management Procedures
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Number 5 (November 2000): Credit Management Procedures
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Number 10 (December 2003): Post-Licensing SBIC Risk Management Procedures
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Risk Assessment Worksheet: Participating Security Funds [Microsoft Excel]
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Risk Assessment Worksheet: Debenture Funds [Microsoft Excel]
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Number 11 (November 2005): Guidelines for Issuance of Debenture Leverage Committments to Participating Securities SBICs
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Number 12 (August 2007): Guidelines Concerning Valuation Issues
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Number 13 (March 2009): Guidelines Concerning Debenture Applicants Structured as a Business Development Company or BDC Subsidiary
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Number 14 (November 2009): Fast Track Process for Small Business Investment Companies Seeking a Subsequent License
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Number 15 (October 2010): Guidelines Concerning the Use of Side Letters and Withdrawal Provisions in SBA’s Model Limited Partnership Agreement (LPA)
Distributions
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Number 6 (November 2000): Guidelines Concerning In-Kind Distributions of Equity Securities
Number 16 (August 2012): Guidance Regarding 13 CFR §107.585 Voluntary Decrease in Licensee’s Regulatory Capital for Early Stage SBICs
Expenses
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Number 7 (December 2000): Guidelines Concerning Allowable Management Expenses for Leveraged SBICs
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Number 7a (December 2003): Cover Memo for Number 7A [Microsoft Word]
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Number 7a (December 2003, Updated April 2008): Guidelines Concerning Allowable Management Expenses for Leveraged SBICs
Investments/Transactions
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Number 1 (January 1998): Technology Transfer and Seed Capital Investments
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Number 8 (April 2002): Guidelines for SBA Approval of Conflict Of Interest Transactions
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Number 9 (April 2002): Guidelines for SBA Approval of Requests for Overline Investments
Reporting
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Number 2 (March 1998): Electronic Reporting Of Annual Financial Statements and Portfolio Financing Reports Using Internet Electronic Mail
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Number 3 (May 1998): Guidelines for Completion of "Control Certification" By Licensees
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Number 4 (July 1998): Reporting Portfolio Valuations to SBA
View by release date (most recent listed first):
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U.S. SMALL BUSINESS ADMINISTRATION WASHINGTON, D.C. 20416 DATE: July 26, 2011 TO: All Small Business Investment Comapanies ("SBICs") SUBJECT: "Refinancing" and Maximum SBA...
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August 27, 2012 – Number 16 Guidance Regarding 13 CFR §107.585 Voluntary Decrease in Licensee’s Regulatory Capital for Early Stage SBICs Background. In April 2012, SBA published the final Early...
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SBIC TechNotes October 2010 – Number 15 GUIDELINES CONCERNING THE USE OF SIDE LETTERS AND WITHDRAWAL PROVISIONS IN SBA’S MODEL LIMITED PARTNERSHIP AGREEMENT (LPA) The guidance below was developed by the Investment...
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Introduction The Office of Investment has instituted a Fast Track process for reviewing applications for Small Business Investment Company ("SBIC") licenses for successor funds to be operated by managers of current SBICs...
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The guidance below was developed by the Investment Division of the US Small Business Administration (“SBA”) for applicants and service providers regarding the requirements for issuance of debenture ...
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Introduction This TechNote provides guidance on the following issues related to the valuation of SBICs’ investments in portfolio companies: Differences between “Reported Value” of Investments on the Form 468...
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Introduction This TechNote discusses the factors that SBA will consider in determining whether to issue a debenture leverage commitment to an SBIC that already has Participating Securities (“PS”) ...
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View the Risk Assessment Worksheet: Debenture Funds (XLS).
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View the Risk Assessment Worksheet: Participating Security Funds (XLS).
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Post?Licensing SBIC Risk Management Procedures A rigorous and effective risk management and oversight program is essential to protect the Agency’sfinancial interests in Small Business Investment Companies (SBICs) and to...