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SBA further revises Form 468 reporting obligations in response to industry concerns

  • Locke Lord LLP
  • -
  • USA
  • -
  • October 25 2011

In response to Industry concerns, the U.S. Small Business Administration (SBA) has revised the reporting requirements of SBA form 468 in an effort to reduce the compliance burdens on Small Business Investment Companies (SBICs

SBA extends deadline to file electronic capital certificates

  • Locke Lord LLP
  • -
  • USA
  • -
  • April 11 2014

The US Small Business Administration (the "SBA") extended the deadline for small business investment companies ("SBICs") to submit electronic versions

The SBA issues new instructions for SBICs drawing leverage

  • Locke Lord LLP
  • -
  • USA
  • -
  • March 8 2013

The U.S. Small Business Administration (the "SBA") recently issued new instructions governing the draw request (a "Draw Request") that small business

Regulatory implementation of the changes the 2009 stimulus bill made to the SBIC program

  • Locke Lord LLP
  • -
  • USA
  • -
  • July 16 2009

The American Recovery and Reinvestment Act of 2009 ("ARRA"), signed into law by President Obama on February 17, 2009, contains significant revisions to the Small Business Investment Act of 1958 (the "Act"), which governs Small Business Investment Companies ("SBICs"

Website “spoofing”: a new threat for financial services firms

  • Locke Lord LLP
  • -
  • USA
  • -
  • October 6 2009

Picture this: You’re the Managing Director of a successful mid-market private equity group

SBA creates “fast track” SBIC licensing process for repeat funds

  • Locke Lord LLP
  • -
  • USA
  • -
  • November 11 2009

On November 2, 2009, the Small Business Administration’s ("SBA") Office of Investment released TechNote 14 ("Fast Track Process for Small Business Investment Companies Seeking a Subsequent License"), which implements an expedited review process for evaluation and approval of Small Business Investment Company ("SBIC") license applications for applicants operated by managers of current SBICs

SBA policy change regarding buyouts of SBICs with outstanding participating securities leverage

  • Locke Lord LLP
  • -
  • USA
  • -
  • January 12 2011

On January 3, 2011, the SBA announced a new policy governing its approval of buyouts of active SBICs that have outstanding participating securities leverage

New registration and reporting requirements for private fund managers take effect soon

  • Locke Lord LLP
  • -
  • USA
  • -
  • February 18 2011

Private fund advisers that have been exempt from registering with the SEC under the Investment Advisers Act of 1940 (the "Advisers Act") may soon be required to register due to changes made by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"

New registration and reporting requirements for private fund managers may be postponed

  • Locke Lord LLP
  • -
  • USA
  • -
  • April 27 2011

Private fund advisers that have been exempt from registering with the SEC under the Investment Advisers Act of 1940 may not be required to comply with the registration and reporting requirements, recently proposed by the SEC in connection with Title IV of the Dodd-Frank Act, as soon as originally expected

SEC adopts final rules implementing the Dodd-Frank Act

  • Locke Lord LLP
  • -
  • USA
  • -
  • June 30 2011

On June 22, 2011, the Securities and Exchange Commission adopted final rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act