Securities Exchange Act 1934: Federal law governing securities trading and broker-dealer registration requirements. Essential if the partnership involves securities trading or brokerage.
RESPA: Real Estate Settlement Procedures Act - Federal law regulating real estate transactions and associated settlement services. Critical for real estate broker partnerships.
Investment Advisers Act 1940: Federal legislation governing investment advisers' conduct and registration. Relevant if the partnership involves investment advisory services.
Commodity Exchange Act: Federal regulations for commodity futures trading and brokerage. Applicable if the partnership deals with commodities trading.
Dodd-Frank Act: Comprehensive financial reform legislation affecting various aspects of financial services, including broker-dealer operations and partnerships.
State Registration Requirements: State-specific broker-dealer registration and licensing requirements that vary by jurisdiction and type of brokerage service.
Uniform Partnership Act: Standard state law governing partnership formation, operation, and dissolution. Provides framework for partnership agreements.
SEC Regulations: Securities and Exchange Commission rules governing securities broker-dealers, including compliance, reporting, and operational requirements.
FINRA Rules: Financial Industry Regulatory Authority requirements for member firms, including conduct rules and operational standards.
State Tax Laws: State-specific tax regulations affecting partnership income, distributions, and business operations.
Insurance Regulations: State and federal insurance laws applicable to insurance broker partnerships and related activities.
Banking Regulations: Federal and state banking laws relevant to broker partnerships involving banking or financial services.
NAR Guidelines: National Association of REALTORSยฎ professional standards and guidelines for real estate broker operations.
