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Maintaining the Efficacy of the Private Markets
Treasury recommends that the SEC, FINRA, and the states propose a new regulatory structure for finders and other intermediaries in capital-forming transactions.
Treasury recommends that amendments to the accredited investor definition be undertaken with the objective of expanding the eligible pool of sophisticated investors.
Treasury recommends a review of provisions under the Securities Act and the Investment Company Act that restrict unaccredited investors from investing in a private fund containing Rule 506 offerings.
Treasury recommends that federal and state financial regulators, along with their counterparts in self-regulatory organizations, work to centralize reporting of individuals and firms that have been subject to adjudicated disciplinary proceedings or criminal convictions, which can be searched easily and efficiently by the investing public free of charge.
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