Securities Exchange Act 1934: Federal law governing securities trading, establishing SEC oversight, and regulating broker-dealer conduct and registration requirements

RESPA: Real Estate Settlement Procedures Act - Federal law governing real estate transactions, including restrictions on kickbacks and referral fees between brokers

Dodd-Frank Act: Comprehensive financial reform legislation affecting broker operations, including enhanced compliance requirements and consumer protection measures

Bank Secrecy Act: Federal law requiring brokers to assist government agencies in detecting and preventing money laundering through reporting and compliance programs

AML Regulations: Anti-Money Laundering regulations requiring brokers to implement programs to detect and prevent money laundering activities

FINRA Rules: Comprehensive set of regulations governing broker-dealers, including conduct rules, operational requirements, and customer protection measures

Blue Sky Laws: State-specific securities regulations that govern the offering and sale of securities to protect investors from fraudulent activities

State Licensing Requirements: State-specific regulations determining qualification, education, and ongoing requirements for broker licensing and operation

NAR Code of Ethics: Professional standards set by the National Association of REALTORSยฎ for real estate broker conduct and business practices

Gramm-Leach-Bliley Act: Federal law requiring financial institutions, including brokers, to explain information-sharing practices and protect sensitive customer data

Commission Splitting Rules: State-specific regulations governing how brokers can share commissions and compensation between themselves

State Contract Laws: State-specific laws governing contract formation, enforcement, and remedies applicable to broker agreements

Statute of Frauds: Legal requirement that certain contracts, including many broker agreements, must be in writing to be enforceable