- (a) Reports to owners. You must give the Agency 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 the Agency 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 the Agency 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) include any action by you, or by your security holder(s) in a personal or derivative capacity, against an officer, director, Investment Adviser/Manager or other Associate of yours for alleged breach of official duty.
- (2) The Agency may require you to submit copies of the pleadings and other documents it may specify.
- (3) Where proceedings have been terminated by settlement or final judgment, you must promptly advise the Agency of the terms.
- (4) This paragraph (c) does not apply to collection actions or proceedings to enforce your ordinary creditors' rights.
- (d) Notification of criminal charges. If any officer, director, general partner, or managing member of the RBIC, or any other person who was required by the Agency 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 the Agency 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 2 CFR part 200, subpart D, as codified in 2 CFR 400.1 and any grant award document executed between you and the Agency.
- (f) Other reports. You must file any other reports the Agency may require in writing.
[69 FR 32204, June 8, 2004, as amended at 79 FR 76019, Dec. 19, 2014]