---
kind: "section"
citation: "13 C.F.R. § 108.660"
title: "13"
number: "108.660"
heading: "Other items required to be filed by NMVC Company with SBA."
url: "https://uscodex.org/cfr/13/108.660"
---

# §108.660. Other items required to be filed by NMVC Company with SBA.

- (a) **Reports to owners.** You must give SBA a copy of any report you furnish to your investors, including any prospectus, letter, or other publication concerning your financial operations or those of any Portfolio Concern.
- (b) **Documents filed with SEC.** You must give SBA a copy of any report, application or document you file with the Securities and Exchange Commission.
- (c) **Litigation reports.** When you become a party to litigation or other proceedings, you must give SBA a report within 30 days that describes the proceedings and identifies the other parties involved and your relationship to them.
  - (1) The proceedings covered by this [paragraph (c)](#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)](#c) does not apply to collection actions or proceedings to enforce your ordinary creditors' rights.
- (d) **Notification of criminal charges.** If any officer, director, or general partner of the NMVC Company, or any other person who was required by SBA to complete a personal history statement, is charged with or convicted of any criminal offense other than a misdemeanor involving a minor motor vehicle violation, you must report the incident to SBA within 5 calendar days. Such report must fully describe the facts that pertain to the incident.
- (e) **Reports concerning Operational Assistance grant funds.** You must comply with all reporting requirements set forth in Circular A-110 of the Office of Management and Budget and any grant award document executed between you and SBA.
- (f) **Other reports.** You must file any other reports SBA may require in writing.

## Notes

### Authority

Authority: 15 U.S.C. 689-689q.

### Source

Source: 66 FR 28609, May 23, 2001, unless otherwise noted.