Regulatory Compliance

Our commitment to legal and regulatory standards

Securities Law Compliance

Investment Adviser Act of 1940

AlphaAI StockX operates in compliance with federal securities laws. We provide technology tools and educational content, but do not provide personalized investment advice that would require registration as an investment adviser.

Key Compliance Points:

We do not provide personalized investment recommendations
All content is educational and informational in nature
Users make independent trading decisions
We maintain proper disclosures and risk warnings

Customer Protection

Data Protection

We comply with GDPR, CCPA, and other privacy regulations to protect your personal information.

Know Your Customer (KYC)

We implement identity verification procedures to prevent fraud and comply with anti-money laundering laws.

Anti-Money Laundering (AML)

We monitor for suspicious activities and maintain AML compliance programs.

Fair Trading Practices

We promote fair and transparent trading practices for all users.

International Compliance

United States

• SEC (Securities and Exchange Commission) regulations
• FINRA (Financial Industry Regulatory Authority) rules
• CFTC (Commodity Futures Trading Commission) oversight
• State securities regulations

European Union

• MiFID II (Markets in Financial Instruments Directive)
• GDPR (General Data Protection Regulation)
• ESMA (European Securities and Markets Authority) guidelines
• Local financial services regulations

Other Jurisdictions

We work to comply with applicable financial services regulations in jurisdictions where we operate, including Canada, Australia, and other markets.

Third-Party Compliance

Alpaca Markets Partnership

We partner with Alpaca Markets LLC, a registered broker-dealer and member of FINRA/SIPC, to execute trades on behalf of our users.

Alpaca Markets LLC:

FINRA Member (Member ID: 289154)
SIPC Member (protects securities up to $500,000)
SEC-registered broker-dealer
Regulated by FINRA and SEC

Payment Processing

We use Stripe for payment processing, which maintains PCI DSS Level 1 compliance and adheres to strict financial data security standards.

Algorithmic Trading Disclosure

Algorithm Transparency

Nature of Service: We provide algorithmic trading tools and recommendations, not guaranteed investment results
Performance Disclosure: All performance data represents backtested or historical results, not future predictions
Risk Management: Users maintain control over their trading accounts and risk parameters
System Limitations: Algorithmic systems may experience technical failures or unexpected behavior

Complaints and Disputes

Complaint Process

If you have a complaint about our services, please contact us immediately:

Email: compliance@alphaaistockx.com
Phone: [Compliance Phone Number]
Mail: [Compliance Department Address]

External Resources:

• FINRA BrokerCheck: broker.finra.org
• SEC Investor.gov: investor.gov
• FINRA Dispute Resolution: finra.org/arbitration

Regulatory Updates

Financial services regulations evolve continuously. We monitor regulatory changes and update our compliance procedures accordingly.

Stay Informed

• We will notify users of material compliance changes
• Regular updates to terms of service and policies
• Compliance information available on our website
• Direct communication for regulatory matters affecting users

This compliance information is current as of August 16, 2025

For the most up-to-date regulatory information, contact our compliance department at compliance@alphaaistockx.com

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