Subpart I. Subpart I—Financing of Enterprises by RBICs

• Determining Eligibility of an Enterprise for RBIC Financing

  • SECTION § 4290.700 - Requirements concerning types of enterprises to receive financing.
  • SECTION § 4290.720 - Enterprises that may be ineligible for Financing.
  • SECTION § 4290.730 - Financings which constitute conflicts of interest.
  • SECTION § 4290.740 - Portfolio diversification (“overline” limitation).
  • SECTION § 4290.760 - How a change in size or activity of a Portfolio Concern affects the RBIC and the Portfolio Concern.

• Structuring RBIC Financing of Eligible Enterprises—Types of Financings

  • SECTION § 4290.800 - Financings in the form of Equity Securities.
  • SECTION § 4290.810 - Financings in the form of Loans.
  • SECTION § 4290.815 - Financings in the form of Debt Securities.
  • SECTION § 4290.820 - Financings in the form of guarantees.
  • SECTION § 4290.825 - Purchasing securities from an underwriter or other third party.
  • SECTION § 4290.830 - Minimum term of Financing.
  • SECTION § 4290.835 - Exceptions to minimum term of Financing.
  • SECTION § 4290.840 - Maximum term of Financing.
  • SECTION § 4290.845 - Maximum rate of amortization on Loans and Debt Securities.
  • SECTION § 4290.850 - Restrictions on redemption of Equity Securities.
  • SECTION § 4290.860 - Financing fees and expense reimbursements a RBIC may receive from an Enterprise.
  • SECTION § 4290.880 - Assets acquired in liquidation of Portfolio securities.

• Limitations on Disposition of Assets

  • SECTION § 4290.885 - Disposition of assets to RBIC's Associates or to competitors of Portfolio Concerns.
  • SECTION § 4290.900 - Management fees for services provided to an Enterprise by RBIC or its Associate.