Regulatory Disclosures

Last Updated: November 2023

IMPORTANT REGULATORY NOTICE

Alpha Optimus, INC. (NYSE: FTSE) IS A REGISTERED INVESTMENT ADVISER WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC"). REGISTRATION WITH THE SEC DOES NOT IMPLY A CERTAIN LEVEL OF SKILL OR TRAINING.

1. Registration & Licensing

1.1 SEC Registration

  • SEC Registration Number: 801-XXXXX
  • Form ADV available on the SEC's website
  • Annual updating amendment filed: March 31, 2023

1.2 State Registrations

Alpha Optimus maintains appropriate registrations in all jurisdictions where required. Please consult our Form ADV for specific state registration information.

2. Financial Industry Memberships

  • Member of Financial Industry Regulatory Authority (FINRA)
  • Member of Securities Investor Protection Corporation (SIPC)
  • Member of National Futures Association (NFA)

3. Investment Adviser Disclosures

3.1 Services Offered

Our AI-powered platform provides:

  • Market analysis and research tools
  • Portfolio analytics
  • Risk assessment models
  • Trading signals and indicators

3.2 Important Disclaimers

INVESTMENT ADVISORY SERVICES INVOLVE SUBSTANTIAL RISK. PAST PERFORMANCE IS NOT INDICATIVE OF FUTURE RESULTS.

  • All investments carry risk of loss
  • AI-generated insights are not guarantees of performance
  • Market conditions can change rapidly
  • Individual results may vary significantly

4. Regulatory Compliance

4.1 SEC Regulations

  • Investment Advisers Act of 1940
  • Securities Exchange Act of 1934
  • Regulation S-P (Privacy of Consumer Financial Information)
  • Regulation S-ID (Identity Theft Red Flags)

4.2 FINRA Rules

  • Rule 2010: Standards of Commercial Honor and Principles of Trade
  • Rule 2210: Communications with the Public
  • Rule 3110: Supervision
  • Rule 4512: Customer Account Information

5. Financial Requirements

Alpha Optimus maintains capital requirements in excess of regulatory minimums and carries professional liability insurance coverage.

6. Conflicts of Interest

We are committed to transparency regarding potential conflicts of interest. Please review our Form ADV Part 2A for detailed disclosures about:

  • Revenue sharing arrangements
  • Affiliated business relationships
  • Compensation structures
  • Trading practices

7. Customer Complaint Process

Customers may file complaints through:

  • Direct contact with our Compliance Department
  • FINRA's Investor Complaint Center
  • SEC's Investor Complaint Form
  • State securities regulators

8. Business Continuity

Our Business Continuity Plan is designed to ensure service continuation during significant business disruptions. A summary is available upon request.

9. Additional Resources

This information is accurate as of November 2023. For the most current information, please contact our Compliance Department at compliance@fintradesherpa.com or (555) 123-4567.