SBA Demands More Tech Firm Reports: Boosting Security in Critical Investments
Published Date: 3/5/2026
Notice
Summary
The Small Business Administration is asking for public feedback on new reporting rules for special investment companies that support critical U.S. technologies. These companies will need to share more info to help protect national security and attract private investment. Comments are open until April 6, 2026, so businesses should act fast to have their say!
Analyzed Economic Effects
5 provisions identified: 0 benefits, 5 costs, 0 mixed.
Quarterly and Annual Filing Deadlines
If you operate an SBIC licensed under the SBIC Critical Technologies Initiative, you must file required reports quarterly and annually. Quarterly reports (the listed forms) are due within 45 calendar days after the end of each fiscal quarter, and annual reports are due within 90 calendar days after the end of each fiscal year.
Required Forms: SBA Forms 1030 & 1032
SBICs participating in the Critical Technologies Initiative must submit SBA Form 1030 (Foreign Ownership, Control, and/or Influence Risk Assessment) and SBA Form 1032 (investment activity questionnaire). These forms are specified as the information collections to be submitted under the new compliance rules.
Must Sign Compliance Agreement
An SBICCT must enter into a contractual SBICCT Compliance Agreement with SBA and the Department of Defense Office of Strategic Capital under the Initiative. That agreement establishes the reporting obligations and other compliance terms tied to participation.
Limit on Capital Deployment Practices
SBICCTs are required to refrain from deploying capital in ways that are inconsistent with public benefit as part of the Compliance Agreement. This restriction is part of the Initiative’s terms for attracting and scaling private investment into critical technologies.
Estimated Respondents and Burden
The SBA estimates 25 respondents, 300 annual responses, and an estimated 150 annual hours of burden for the information collection identified as SBA Forms 1030 and 1032. These estimates describe the expected scale and administrative burden of the new reporting.
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