U.S. Code of Federal Regulations

Regulations most recently checked for updates: Jan 21, 2026

All TitlesTitle 13Chapter IPart 107Subpart F - Subpart F—Recordkeeping, Reporting, and Examination Requirements for Licensees

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

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

EXAMINATIONS OF LICENSEES BY SBA FOR REGULATORY COMPLIANCE
§ 107.690 - Examinations.
§ 107.691 - Responsibilities of Licensee during examination.
§ 107.692 - Examination fees.
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