Small Business Investment Company Program Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership)

The Office of Investment and Innovation (OII) of the SBA is required to examine Small Business Investment Companies (SBICs) pursuant to Section 310 of the Small Business Investment Act of 1958, as amended, 15 U.S.C. Section 687b, and the implementing regulations at 13 CFR 107.690 to 107.692. The purpose of the examination, as provided by statute, is to determine, in part, whether or not the SBIC has engaged “solely in lawful activities and those [activities] contemplated” by title III of the Small Business Investment Act. As part of its effort to meet this statutory requirement, SBA’s Office of SBIC Examinations uses SBA Form 1405, Stockholder’s Confirmation (Corporation), and SBA Form 1405A, Ownership Confirmation (Partnership), as a means of gathering information relevant to each SBIC examination. The examinations are required by statute to occur at least biennially (15 U.S.C. Section 687b(c)).

The latest form for Small Business Investment Company Program Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership) expires 2029-09-30 and is listed under ICR 202608-3245-004.

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