Subpart F. Subpart F—Recordkeeping, Reporting, and Examination Requirements for Licensees

• Recordkeeping Requirements for Licensees

  • SECTION § 107.600 - General requirement for Licensee to maintain and preserve records.
  • SECTION § 107.610 - Required certifications for Loans and Investments.
  • SECTION § 107.620 - Requirements to obtain information from Portfolio Concerns.

• Reporting Requirements for Licensees

  • SECTION § 107.630 - Requirement for Licensees to file financial statements with SBA (Form 468).
  • SECTION § 107.640 - Requirement to file Portfolio Financing Reports (SBA Form 1031).
  • SECTION § 107.650 - Requirement to report portfolio valuations to SBA.
  • SECTION § 107.660 - Other items required to be filed by Licensee with SBA.
  • SECTION § 107.665 - Civil penalties.
  • SECTION § 107.670 - Application for exemption from civil penalty for late filing of reports.
  • SECTION § 107.680 - Reporting changes in Licensee not subject to prior SBA approval.

• Examinations of Licensees by SBA for Regulatory Compliance

  • SECTION § 107.690 - Examinations.
  • SECTION § 107.691 - Responsibilities of Licensee during examination.
  • SECTION § 107.692 - Examination fees.