Regulatory Information

TeslaXpacer operates under strict regulatory oversight to ensure the highest standards of investor protection and financial compliance.

Regulatory Oversight

Multiple layers of regulation ensure your investments are protected

FINRA Membership
Member of the Financial Industry Regulatory Authority

TeslaXpacer Securities LLC is a registered broker-dealer and member of FINRA, ensuring compliance with securities regulations.

SIPC Protection
Securities Investor Protection Corporation member

Client accounts are protected up to $500,000 by SIPC insurance, including $250,000 for cash claims.

SEC Registration
Registered Investment Advisor with the SEC

TeslaXpacer Advisors LLC is registered with the Securities and Exchange Commission as an investment advisor.

Compliance Program
Comprehensive regulatory compliance framework

We maintain robust compliance procedures to ensure adherence to all applicable regulations and best practices.

Regulatory Documents

Important disclosures and regulatory filings

Form ADV Part 2A

Investment advisor disclosure document

Regulatory Filing

Business Continuity Plan

Emergency preparedness and continuity procedures

Operational

Privacy Policy

How we collect, use, and protect your information

Privacy

Customer Relationship Summary

Form CRS - Key information about our services

Disclosure
Compliance Framework
Our commitment to regulatory excellence and investor protection

Regulatory Supervision

TeslaXpacer Securities LLC is supervised by FINRA and is subject to regular examinations to ensure compliance with securities laws and regulations. Our investment advisory services are regulated by the SEC.

Client Protection

We maintain segregated client accounts and follow strict custody procedures. Client securities are held by qualified custodians and are protected by SIPC insurance up to applicable limits.

Anti-Money Laundering

We have comprehensive AML procedures in place, including customer identification programs, suspicious activity monitoring, and regulatory reporting requirements.

Best Execution

We are committed to seeking best execution for client orders and regularly review our execution quality and venue selection to ensure optimal outcomes.

Record Keeping

We maintain comprehensive records of all transactions, communications, and regulatory filings in accordance with applicable record retention requirements.

Regulatory Inquiries

For questions about our regulatory status or compliance procedures, please contact our compliance department.

Email: compliance@teslaxpacer.com

Phone: +15122934561

Address: 123 Market Street, Suite 400, San Francisco, CA 94102