Securities Exchange Act 1934: Federal law governing securities trading and broker-dealer registration requirements, crucial if the financial consultant deals with securities
Investment Advisers Act 1940: Federal regulation for investment advisers, particularly relevant if the consultant provides investment advice
Dodd-Frank Act: Comprehensive financial reform law affecting financial advisers, including provisions for consumer protection and regulatory oversight
Internal Revenue Code: Federal tax laws affecting consultant compensation, deductions, and tax reporting requirements
Fair Labor Standards Act: Federal law determining worker classification criteria between employees and independent contractors
Blue Sky Laws: State-specific securities regulations that may affect consultant's activities in particular states
State Licensing Requirements: Various state-specific licensing and registration requirements for financial consultants
State Labor Laws: State-specific regulations governing consulting relationships and worker classification
State Non-Compete Laws: State-specific regulations governing the enforceability and scope of non-compete agreements
SEC Regulations: Federal securities regulatory requirements affecting financial consultants and advisers
FINRA Requirements: Self-regulatory organization rules affecting financial professionals and their activities
Gramm-Leach-Bliley Act: Federal law governing privacy and security requirements for financial institutions and advisers
Bank Secrecy Act: Federal law requiring financial institutions to assist government agencies in detecting and preventing money laundering
USA PATRIOT Act: Federal law including provisions for customer identification and anti-money laundering procedures
Common Law Contract Principles: Basic contract formation requirements including offer, acceptance, consideration, and capacity
Statute of Frauds: Legal requirement that certain contracts must be in writing to be enforceable
