Investment Advisers Act of 1940: Primary federal legislation governing the conduct of investment advisers, requiring registration with SEC and establishing fiduciary duties
Securities Exchange Act of 1934: Fundamental securities law that governs securities transactions and requires registration of exchanges, broker-dealers, and other market participants
Dodd-Frank Act: Comprehensive financial reform legislation that enhanced regulatory oversight and consumer protection in the financial sector
Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering
USA PATRIOT Act: Expanded AML requirements and introduced additional customer identification procedures for financial institutions
Investment Company Act of 1940: Regulates the organization and activities of investment companies and mutual funds
Blue Sky Laws: State-specific securities regulations that govern the offering and sale of securities to protect investors from fraudulent activities
State Registration Requirements: State-specific requirements for financial advisor registration and licensing
State Fiduciary Laws: State-specific laws governing fiduciary duties and responsibilities of financial advisors
SEC Regulations: Rules and regulations issued by the Securities and Exchange Commission governing securities industry and market participants
FINRA Rules: Self-regulatory organization rules governing member firms and registered representatives in the securities industry
CFA Code of Ethics: Professional standards and ethical guidelines for Chartered Financial Analysts
CFP Standards: Professional conduct standards for Certified Financial Planners
Federal Trade Commission Act: Prohibits unfair or deceptive practices in commerce and protects consumer rights
Gramm-Leach-Bliley Act: Requires financial institutions to explain their information-sharing practices and protect sensitive data
Fair Labor Standards Act: Federal law establishing wage, overtime, and employment standards
Cybersecurity Regulations: Federal and state requirements for protecting client data and maintaining cybersecurity measures
Data Breach Notification Laws: State-specific requirements for notifying affected parties in the event of a data breach
