Investment Advisers Act of 1940: Primary federal law that regulates investment advisers and defines their fiduciary responsibilities to clients
Securities Exchange Act of 1934: Fundamental federal law governing securities trading and broker-dealer registration
Securities Act of 1933: Federal law requiring registration of securities offerings and full disclosure of material information
Dodd-Frank Act: Comprehensive financial reform legislation affecting advisory services, including enhanced disclosure requirements and fiduciary standards
Bank Secrecy Act: Federal law requiring financial institutions to assist government agencies in detecting and preventing money laundering
PATRIOT Act: Legislation requiring customer identification programs and enhanced due diligence procedures
SEC Regulations: Comprehensive regulatory framework governing investment advisers, including registration, disclosure, and reporting requirements
FINRA Rules: Self-regulatory organization rules governing broker-dealers and their associated persons
CFPB Guidelines: Federal agency guidelines protecting consumers in the financial sector
State Securities Regulations: State-specific requirements for investment adviser registration and compliance
Department of Labor Fiduciary Rules: Rules governing investment advice for retirement accounts and ERISA plans
Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain information-sharing practices and protect sensitive data
State Privacy Laws: State-specific requirements for protecting client personal and financial information
CFA Institute Code of Ethics: Professional standards for chartered financial analysts including integrity, diligence, and client interests
CFP Board Standards: Professional standards for certified financial planners including ethics, competency, and client service
