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Results: 1-10 of 26

The SBA issues instructions for pre-screening prospective applicants to the SBIC program

  • Locke Lord LLP
  • -
  • USA
  • -
  • April 4 2013

The U.S. Small Business Administration (the "SBA") recently issued instructions for prospective applicants to the SBIC Program regarding the process

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

Institutional investor status recertification

  • Locke Lord LLP
  • -
  • USA
  • -
  • May 17 2011

On May 16, 2011, the SBA issued Memorandum 2011-1 regarding annual recertification of SBIC Institutional Investors

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