Investment Advisers Act of 1940: Federal law that regulates investment advisers and requires registration with the SEC, establishing fiduciary duties and compliance requirements for investment advisers

Investment Company Act of 1940: Federal law governing investment companies, including mutual funds, setting standards for registration, disclosure, and operation

Securities Act of 1933: Federal law requiring registration of securities offerings and detailed disclosure requirements to protect investors

Securities Exchange Act of 1934: Federal law establishing the SEC and regulating secondary market trading, requiring periodic reporting from public companies

Dodd-Frank Act: Comprehensive financial reform legislation enacted in response to the 2008 financial crisis, introducing new requirements for asset managers and financial institutions

Bank Secrecy Act: Federal law requiring financial institutions to assist government agencies in detecting and preventing money laundering

USA PATRIOT Act: Federal law expanding AML requirements and introducing additional customer identification procedures for financial institutions

SEC Regulations: Rules and regulations implemented by the Securities and Exchange Commission governing securities markets and investment management

FINRA Rules: Self-regulatory organization rules governing broker-dealers and investment firms to ensure market integrity and investor protection

DOL Regulations: Department of Labor rules particularly relevant when managing retirement assets or ERISA-governed accounts

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

ERISA: Employee Retirement Income Security Act governing retirement account management and establishing fiduciary responsibilities

CFTC Regulations: Commodity Futures Trading Commission rules governing trading in futures, options, and other derivatives markets

KYC Requirements: Know Your Customer procedures required to verify the identity of clients and assess their suitability for investment services

AML Regulations: Anti-Money Laundering regulations requiring procedures to prevent, detect, and report suspicious financial activities

FATCA: Foreign Account Tax Compliance Act requirements for reporting foreign financial accounts and offshore assets

State Contract Laws: State-specific laws governing contract formation, enforcement, and interpretation

Uniform Commercial Code: Standardized set of business laws governing commercial transactions across all states