Compliance Policy

Regulation D Rule 506(b) Overview

FundBuildSell™ is designed for builders raising capital under SEC Regulation D, Rule 506(b). Under 506(b), issuers may raise an unlimited amount from up to 35 non-accredited but sophisticated investors, and an unlimited number of accredited investors. General solicitation is not permitted under 506(b).

Builders using FundBuildSell™ must have a pre-existing substantive relationship with investors they invite to the platform. The platform provides deal management and compliance tooling — it does not constitute a solicitation.

Accredited investor standards

An accredited investor under SEC Rule 501(a) includes:

• Individuals with annual income exceeding $200,000 (or $300,000 with spouse) in each of the prior two years
• Individuals with net worth exceeding $1,000,000 (excluding primary residence)
• Certain entities including trusts, LLCs, and corporations meeting asset thresholds
• Licensed securities professionals holding Series 7, 65, or 82

FundBuildSell™ requires all investors to self-certify their accreditation status and sign an accredited investor certification before accessing any offering materials.

What the platform collects at signup

For each investor, FundBuildSell™ collects and stores:

• Self-certified accreditation basis (income, net worth, licensed professional, entity, or non-accredited/sophisticated)
• Acknowledgement of the required risk, exemption, and accreditation disclosures — each recorded individually with a timestamp and the exact text agreed to
• An additional sophistication acknowledgement for non-accredited investors under Rule 506(b)
• Supporting documents (such as accreditation evidence) that a builder requests and the investor uploads through the platform

FundBuildSell™ does not itself verify identity or accreditation; it records what investors certify and retains the acknowledgement trail for the issuer's records.

Form D filing reminder

Issuers raising capital under Regulation D must file Form D with the SEC within 15 calendar days of the first sale of securities. FundBuildSell™ does not file Form D on behalf of issuers. Builders are solely responsible for timely filing. Failure to file does not void the offering but may affect future exemption eligibility.

File Form D at: SEC EDGAR — Submit Form D →

SEC resource links

• →SEC — Regulation D Overview
• →SEC — Accredited Investor Definition
• →SEC — EDGAR Form D Filing
• →Investor.gov — Private Placements

Questions

Compliance inquiries: legal@fundbuildsell.com