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SBIC Guidance by Topic

While regulations provide the rules which govern SBICs, SBA issues Procedures, TechNotes and Policy Letters to provide further clarification on specific areas and special topics.  This section lists guidance by topic.
SBIC Topics

View Guidance by Date

 

Licensing / Organizational

2013-02

Technote Number 17:  Determination of SBIC Common Control

2012-09

Start-Up America Impact Investment SBIC Initiative Policy Update

2012-06

Additional Fund Request Policy Letter

2010-10

Technote Number 15: Guidelines Concerning the Use of Side Letters and Withdrawal Provisions in SBA’s Model Limited Partnership Agreement

2009-11

Technote Number 14: Fast Track Process for Small Business Investment Companies Seeking a Subsequent License

2009-03

Technote Number 13:  Guidelines Concerning Debenture Applicants Structured as a Business Development Company or BDC Subsidiary

2008-04
 
 
 
 

Technote Number 7a: Guidelines Concerning Allowable Management Expenses for Leveraged SBICs for SBICs that submitted license applications on or after April 1, 2004:

2000-12

Technote Number 7: Guidelines Concerning Allowable Management Expenses for Leveraged SBICs for SBICs that submitted license applications prior to April 1, 2004

 
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Credit / Risk

2012-08

Technote Number 16: Guidance Regarding 13 CFR §107.585 Voluntary Decrease in Licensee’s Regulatory Capital for Early Stage SBICs

2011-01

Buyout of Participating Securities SBICs Policy Letter

2007-08

Technote Number 12: Guidelines Concerning Valuation Issue

2003-12

Technote Number 10: Post-Licensing SBIC Risk Management Procedures

2000-11

Technote Number 5: Credit Management Procedures

2000-11

TechNote 6: – Guidelines Concerning In-Kind Distributions of Equity Securities (Participating Securities SBICs only)

 
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Investments/Transactions

2002-04

Technote Number 8: Guidelines for SBA Approval of Conflict Of Interest Transactions

2002-04

Technote Number 9: Guidelines for SBA Approval of Requests for Overline Investments

 
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Leverage Commitments and Draws

2013-02

Draw Instructions

2012-03

Energy Saving Debenture Letter and FAQs

2011-07

Debenture Refinancing Policy Letter

2009-06

Commitment Instructions

2005-11

Technote Number 11: Guidelines for Issuance of Debenture Leverage Commitments to Participating Securities SBICs

 
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Periodic SBIC Reporting

2013-07

Technote Number 4: Reporting Portfolio Valuations (Updated July 2013)

1998-03

TechNote Number 2:  Electronic Reporting of Annual Financial Statements and Portfolio Financing Reports using Internet Electronic Mail.  (Note:  Contact sbic@sba.gov for information on the SBIC web-based reporting system.)

 
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Miscellaneous

2013-04

TechNotes Removal Letter

 
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