1. LawStack
  2. Title 13 - Business Credit and Assistance
  3. Chapter I - SMALL BUSINESS ADMINISTRATION
  4. Part 107 - SMALL BUSINESS INVESTMENT COMPANIES
  5. Subpart I - SBA Financial Assistance for Licensees (Leverage)
  6. Topic - Funding Leverage by Use of SBA-Guaranteed Trust Certificates (“TCs”)
  7. 13 CFR § 107.1640
13 CFR § 107.1640
SBA access to records of the CRA, Brokers, Dealers and Pool or Trust assemblers
November 10, 2020
CFR

The CRA and any broker, dealer and Pool or Trust assembler operating under the regulations in this part shall make all books, records and related materials associated with Debentures, Participating Securities and TCs available to SBA for review and copying purposes. Such access shall be at such party's primary place of business during normal business hours.

Previous
§ 107.1630 SBA regulation of Brokers and Dealers and disclosure to purchasers of Leverage or Trust Certificates
Next
§ 107.1600 SBA authority to issue and guarantee Trust Certificates

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