In this section, you will find all SBIC program regulations, amendments to the regulations, standards, guidelines, and tech notes. You will also find links to all of the regulatory forms, the North American Industry Classification System (NAICS) and redemption tables. We’re striving to make electronic communication with our SBICs a more valuable, time saving experience (for example, by being able to fill out frequently used forms online). Your suggestions on how to make our website more accessible and user friendly for the SBIC community are always appreciated. Please enjoy our new look and visit us frequently.

For More Information

Regulations

• Final Rule - Control of a small business by a Licensee
• Part 107-Small Business Investment Companies
• Part 121-Small Business Size Regulations
• Small Business Act of 1958, as Amended 12-21-01

Technotes

North American Industry Classification System (NAICS)
Information on NAICS
Where to get the NAICS manual:
(800) 553-6847
(703) 605-6000
http://www.ntis.gov/product/naics.htm

Standards and Guidelines

• Accounting Standards for SBICs
• Chart of Accounts for SBICs
• Valuation Guidelines for SBICs

SBIC Forms

• SBIC Forms
• Management Assessment Questionnaire & License Application

Low or Moderate Income (LMI) Debentures

• Background Information and Link to LMI Debenture Calculator
  

Redemption Tables

• SBIC Participating Security Summary Through November 10, 2008
• SBIC Participating Security End of Quarter Redemption Experience (Deal Factors)
• Trust Certificate Rates
• Annual Charge
• Base Rate for Cost of Money Calculations
• SBIC Pooled 10-Year Deb Prepayment Summary Through September 10, 2008
• Debenture Prepayment (Deal Factors) by Semi-Annual Period