Compliance & Operations Guide
The Reg D Rule 506(c) Compliance and Investor Verification Checklist
A practical framework for general solicitation, accredited-investor verification, documentation, and offering controls.
For U.S. private-offering sponsors and their legal, compliance, and investor-operations teams.
✓Understand the Rule 506(c) operating standard
✓Select and document the appropriate verification method
✓Coordinate filings, communications controls, and counsel review
Operating principle
Turn Rule 506(c) requirements into an operating process.
Public solicitation requires disciplined verification and documentation. The checklist helps sponsors operationalize those responsibilities while keeping securities counsel at the center of fact-specific decisions.
Inside the guide
A field-ready framework for sponsor teams.
Use the guide as a build sequence, acceptance test, and working reference before investor activity expands.
- 01506(b) versus 506(c) operating differences
- 02Pre-launch legal and compliance controls
- 03Accredited-investor categories and verification methods
- 04The March 2025 minimum-investment no-action framework
- 05Investor-verification workflow and records
- 06Form D, bad-actor diligence, and compliance calendar
Capital Context Resource