Requirements to obtain information from Portfolio Concerns.

CFR · 2024-01-01 · US · Title 13

All the information required by this section is subject to the requirements of § 107.600 and must be in English. (a) (b) (i) Evaluate the financial condition of the Portfolio Concern for the purpose of valuing your investment; (ii) Determine the continued eligibility of the Portfolio Concern; and (iii) Verify the use of Financing proceeds. (2) Demographic information on the Portfolio Concern's ownership is requested for reporting purposes only and is on a voluntary basis. (3) The information submitted to you must be certified by the president, chief executive officer, treasurer, chief (4) For financial and valuation purposes, you may accept a complete copy of the Federal income tax return filed by the Portfolio Concern (or its proprietor) in lieu of financial statements, but only if appropriate for the size and type of the business involved. (5) The requirements in this paragraph (b) do not apply when you acquire securities from an underwriter in a public offering (see § 107.825). In that case, you must keep copies of all reports furnished by the Portfolio Concern to the holders of its securities. (c)

official document · source cfr-2024 · id 13:§ 107.620