Investment Advisers Act of 1940: Primary federal regulation governing investment advisers, including registration requirements, fiduciary duties, and disclosure obligations
Investment Company Act of 1940: Regulates the organization and operation of investment companies, including mutual funds and their relationships with advisers
Securities Act of 1933: Governs securities offerings and requires registration of securities unless an exemption applies
Securities Exchange Act of 1934: Regulates secondary market trading and establishes the SEC's authority over the securities industry
Dodd-Frank Act: Comprehensive financial reform legislation affecting investment advisers, including reporting requirements and regulatory oversight
SEC Regulations: Regulatory framework established by the Securities and Exchange Commission governing investment adviser operations and compliance
FINRA Rules: Self-regulatory organization rules governing broker-dealers and their interactions with investment advisers
Blue Sky Laws: State-specific securities regulations that may affect investment adviser registration and operations
Fiduciary Duty Laws: Common law and statutory obligations requiring advisers to act in the best interests of their clients
DOL Fiduciary Rules: Department of Labor regulations governing advice related to retirement accounts and ERISA plans
Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain their information-sharing practices and protect sensitive data
Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering
USA PATRIOT Act: Anti-money laundering requirements including customer identification programs and suspicious activity reporting
State Employment Laws: Regulations governing employment relationships, including independent contractor classification and labor standards
State Contract Laws: Legal framework governing contract formation, enforcement, and interpretation in the relevant state
Uniform Commercial Code: Standardized state laws governing commercial transactions, which may apply to certain aspects of advisory relationships
Internal Revenue Code: Federal tax laws affecting investment adviser compensation, client transactions, and reporting requirements
State Privacy Laws: State-specific requirements for protecting client personal information and data security
