Tech Notes

Credit and Risk Management Procedures

• Number 5 (November 2000): Credit Management Procedures
• Number 10 (December 2003): Post-Licensing SBIC Risk Management Procedures
  • Risk Assessment Worksheet: Participating Security Funds [Microsoft Excel]
  • Risk Assessment Worksheet: Debenture Funds [Microsoft Excel]
• Number 11 (November 2005): Guidelines for Issuance of Debenture Leverage Committments to Participating Securities SBICs
• Number 12 (August 2007): Guidelines Concerning Valuation Issues
• Number 13 (March 2009): Guidelines Concerning Debenture Applicants Structured as a Business Development Company or BDC Subsidiary
• Number 14 (November 2009): Fast Track Process for Small Business Investment Companies Seeking a Subsequent License
• Number 15 (October 2010): Guidelines Concerning the Use of Side Letters and Withdrawal Provisions in SBA’s Model Limited Partnership Agreement (LPA)

Distributions

• Number 6 (November 2000): Guidelines Concerning In-Kind Distributions of Equity Securities

Expenses

• Number 7 (December 2000): Guidelines Concerning Allowable Management Expenses for Leveraged SBICs
• Number 7a (December 2003): Cover Memo for Number 7A [Microsoft Word]
• Number 7a (December 2003, Updated April 2008): Guidelines Concerning Allowable Management Expenses for Leveraged SBICs

Investments/Transactions

• Number 1 (January 1998): Technology Transfer and Seed Capital Investments
• Number 8 (April 2002): Guidelines for SBA Approval of Conflict Of Interest Transactions
• Number 9 (April 2002): Guidelines for SBA Approval of Requests for Overline Investments

Reporting

• Number 2 (March 1998): Electronic Reporting Of Annual Financial Statements and Portfolio Financing Reports Using Internet Electronic Mail
• Number 3 (May 1998): Guidelines for Completion of "Control Certification" By Licensees
• Number 4 (July 1998): Reporting Portfolio Valuations to SBA