Securities Exchange Act 1934: Federal law governing securities trading and broker-dealer activities, essential if the introduction involves securities transactions
Investment Advisers Act 1940: Regulates investment advisers and their activities, relevant for financial services introductions
Anti-Kickback Statute: Federal law prohibiting payment for referrals in healthcare programs, crucial for healthcare-related introductions
Foreign Corrupt Practices Act: Regulates international business transactions and prevents corrupt practices in foreign business dealings
Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering
State Broker-Dealer Requirements: State-specific regulations governing broker registration and activities
State Finder's Fee Regulations: State laws governing the payment of finder's fees and introduction commissions
FINRA Regulations: Rules set by the Financial Industry Regulatory Authority for financial services professionals
FTC Regulations: Federal Trade Commission rules governing fair business practices and consumer protection
Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain information-sharing practices and protect sensitive data
Sherman Antitrust Act: Federal law prohibiting certain business activities that reduce competition and require monopolies
Clayton Act: Supplements the Sherman Act, addressing specific practices not explicitly covered in the Sherman Act
Statute of Frauds: Legal requirement that certain contracts must be in writing to be enforceable
