Securities Act of 1933: Primary federal legislation governing the offer and sale of securities, requiring registration and disclosure requirements for public offerings
Securities Exchange Act of 1934: Regulates secondary market trading of securities and establishes the SEC, including anti-fraud provisions
Investment Company Act of 1940: Regulates investment companies and mutual funds, including registration and disclosure requirements
Investment Advisers Act of 1940: Governs the conduct of investment advisers, including registration and fiduciary responsibilities
JOBS Act: Provides exemptions for smaller companies to access capital markets with reduced regulatory requirements
Regulation D: Sets rules for private placement offerings, including exemptions from full SEC registration requirements
Federal Trade Commission Act: Prohibits unfair or deceptive practices in commerce, including fraudulent solicitation
Mail and Wire Fraud Statutes: Federal laws prohibiting fraudulent schemes using mail or electronic communications
USA PATRIOT Act: Includes provisions for preventing money laundering and terrorist financing through financial transactions
Charitable Solicitation Laws: State-specific laws governing fundraising activities for charitable organizations
Truth in Lending Act: Requires disclosure of key terms and costs in lending transactions
Blue Sky Laws: State-specific securities regulations governing the offer and sale of securities within each state
Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering
Anti-Money Laundering Regulations: Framework of rules designed to prevent converting illegally obtained funds into legitimate assets
Know Your Customer Requirements: Guidelines for financial institutions to verify the identity and suitability of clients
