Securities Acts: Securities Act of 1933 and Securities Exchange Act of 1934 - Must be considered if advisory services involve securities transactions or advice
Investment Advisers Act: Investment Advisers Act of 1940 - Critical legislation for advisors providing investment advice, including registration requirements and fiduciary duties
Internal Revenue Code: Federal tax regulations affecting advisor compensation, tax reporting, and classification of payments
Federal Trade Commission Act: Regulations concerning unfair business practices and consumer protection in advisory relationships
Defend Trade Secrets Act: Federal law providing protection for confidential information and trade secrets in advisory relationships
Fair Labor Standards Act: Federal employment law governing wages, hours, and fair labor practices if advisor might be classified as an employee
IRS Classification Guidelines: Federal guidelines determining independent contractor vs. employee status for tax and employment purposes
State Securities Regulations: State-specific requirements for securities advisors, including registration and compliance obligations
State Labor Laws: State-specific employment regulations affecting advisor relationships and worker classification
State Contract Laws: State-specific requirements for contract formation, enforcement, and interpretation
State Trade Secret Laws: State-specific protections for confidential information and trade secrets
Non-Compete Regulations: State-specific restrictions and requirements regarding non-compete agreements and their enforceability
Professional Licensing Requirements: Industry-specific licensing and certification requirements for advisors in particular fields
Fiduciary Duty Laws: Legal obligations requiring advisors to act in the best interest of their clients, particularly relevant in financial and investment advisory
