Other items required to be filed by Licensee with SBA.

CFR · 2024-01-01 · US · Title 13

(a) (b) (c) (1) The proceedings covered by this paragraph (c) include any action by you, or by your security holder(s) in a personal or derivative capacity, against an officer, director, Investment Adviser or other Associate of yours for alleged breach of official duty. (2) SBA may require you to submit copies of the pleadings and other documents SBA may specify. (3) Where proceedings have been terminated by settlement or final judgment, you must promptly advise SBA of the terms. (4) This paragraph (c) does not apply to collection actions or proceedings to enforce your ordinary creditors' rights. (d) (e)

official document · source cfr-2024 · id 13:§ 107.660