Investment Advisers Act of 1940: Primary federal regulation governing investment advisers, requiring registration, disclosure, and establishing fiduciary duties to clients
Securities Exchange Act of 1934: Fundamental securities law governing securities transactions and requiring registration of broker-dealers
Dodd-Frank Act: Comprehensive financial reform law affecting advisory services, including heightened reporting requirements and fiduciary standards
Investment Company Act of 1940: Regulates the organization and operation of investment companies and their relationship with advisory firms
Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering
USA PATRIOT Act: Extends BSA requirements and establishes customer identification programs for financial institutions
FINRA Regulations: Self-regulatory organization rules governing broker-dealers and registered representatives
Blue Sky Laws: State-specific securities regulations governing the offering and sale of securities within each state
State Investment Adviser Requirements: State-specific registration and compliance requirements for investment advisers managing under $110 million
Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain information-sharing practices and protect sensitive data
CFPB Regulations: Consumer Financial Protection Bureau rules protecting consumers in financial transactions
FTC Regulations: Federal Trade Commission rules governing unfair or deceptive business practices
CFA Institute Code of Ethics: Professional standards for chartered financial analysts including integrity, competence, and client priority
CFP Board Standards: Professional standards for certified financial planners including fiduciary duty and ethical conduct
