Securities Exchange Act 1934: Federal law governing securities trading, establishing SEC oversight, and regulating market conduct
Investment Advisers Act 1940: Federal law regulating investment advisers' conduct, registration requirements, and fiduciary duties
Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering
USA PATRIOT Act: Establishes customer identification requirements and enhanced due diligence procedures for financial institutions
Gramm-Leach-Bliley Act: Mandates how financial institutions handle private customer data and required privacy notices
Dodd-Frank Act: Comprehensive financial reform legislation affecting financial institutions' operations and consumer protection
SEC Regulations: Rules and guidelines issued by the Securities and Exchange Commission governing securities industry
FINRA Rules: Self-regulatory organization rules governing broker-dealers and securities firms
Blue Sky Laws: State-specific securities regulations governing securities offerings and sales within each state
KYC Requirements: Know Your Customer protocols requiring verification of client identity and suitability assessment
OFAC Compliance: Office of Foreign Assets Control requirements for screening and blocking prohibited transactions
State Privacy Laws: Various state-specific regulations governing data privacy and protection of personal information
CCPA: California Consumer Privacy Act providing California residents with data privacy rights
Uniform Commercial Code: Standardized set of business laws regulating commercial transactions across states
Statute of Frauds: Legal requirement that certain contracts must be in writing to be enforceable
