Regulatory Information

Last updated: March 2026 REGULATORY INFORMATION About eSlice eSlice, Inc. is a technology company that provides software and listing infrastructure for alternative investment marketplaces. eSlice is not a registered broker-dealer, investment adviser, or funding portal. Current Operating Model (Listing & Software Platform) Until FINRA funding portal membership is approved, eSlice operates as a listing and software platform. Under this model eSlice: - Provides software, hosting, and workflow tools to issuers, marketplace operators, and investors - Displays offering information prepared by issuers and their counsel - Does not hold, custody, or transmit investor funds - Does not negotiate offering terms, solicit investors on behalf of issuers, or recommend or endorse any offering - Does not provide investment, legal, or tax advice - Is compensated through subscription and software fees only, and does not receive transaction-based compensation on securities Funding Portal Application (Pending) eSlice has an application in process with FINRA and the SEC for registration as a Regulation Crowdfunding funding portal. This application has not been approved. Until approval, eSlice does not conduct Regulation Crowdfunding offerings and does not charge success-based fees on funds raised. Any fee schedule referencing Regulation Crowdfunding describes services that will be offered only after approval. Marketplace Partner Regulations Each marketplace partner on the eSlice platform operates under their own regulatory framework: - Offerings under Regulation D Rule 506(c) are available to verified accredited investors only, with general solicitation permitted - Offerings under Regulation D Rule 506(b) are available to accredited investors and up to 35 sophisticated non-accredited investors, without general solicitation - Offerings under Regulation A (Tier 2) are available to both accredited and non-accredited investors, with investment limits for non-accredited investors - Offerings under Regulation Crowdfunding (not currently available on eSlice — see Funding Portal Application above) would be available to all investors, subject to investment limits based on income and net worth Identity Verification All investors are required to complete identity verification (KYC) and anti-money laundering (AML) checks prior to investing. This is required by the Bank Secrecy Act and FinCEN regulations. Tax Reporting eSlice and its marketplace partners report investment income and transactions to the IRS as required by law. Investors will receive applicable tax forms (Form 1099, Schedule K-1) for their investments. Complaint Resolution If you have a complaint about a marketplace partner or an offering, contact [email protected]. You may also file a complaint with: - The SEC at www.sec.gov/tcr - FINRA at www.finra.org/investors/have-problem - Your state securities regulator FINRA BrokerCheck Check the background of marketplace partners and their associated persons at brokercheck.finra.org.