Securities and Exchange Commission May 2014 – Federal Register Recent Federal Regulation Documents

In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to establish a new system of records, ``General Information Technology Records (SEC-67).'' Additionally, two existing systems of records are being revised: ``Office of the Chief Accountant Working File (SEC-28)'' last published in the Federal Register Volume 62, Number 176 on September 11, 1997; and ``Office of Inspector General Investigative Files (SEC-43)'', last published in the Federal Register Volume 71, Number 105 on Thursday, June 1, 2006.

Summary of Application: Applicants request an order permitting the Company, a business development company (``BDC'') and its Subsidiaries (defined below) to operate effectively as one company, specifically allowing them to: (1) Engage in certain transactions with each other; (2) invest in securities in which the other is or proposes to be an investor that would otherwise be permitted if the Company and the Subsidiaries were one company; (3) be subject to modified consolidated asset coverage requirements for senior securities issued by a BDC and its small business investment company (``SBIC'') subsidiaries; and (4) file consolidated reports with the Commission.