Securities Exchange Act of 1934: Primary federal legislation governing broker-dealers, including registration requirements (Section 15), anti-fraud provisions, and record-keeping requirements

Securities Act of 1933: Federal law establishing registration requirements for securities and disclosure obligations for broker-dealers

FINRA Rules and Regulations: Self-regulatory organization rules covering conduct, customer protection, trading practices, KYC requirements, and best execution obligations

Bank Secrecy Act (BSA): Federal law mandating anti-money laundering requirements and suspicious activity reporting for financial institutions

USA PATRIOT Act: Federal legislation requiring customer identification programs and enhanced due diligence procedures for financial institutions

Investment Advisers Act of 1940: Federal law establishing fiduciary duties and registration requirements for investment advisers

State Blue Sky Laws: State-specific securities laws governing registration requirements and disclosure obligations for broker-dealers

SEC Requirements: Regulatory requirements covering registration, reporting, capital requirements, and customer protection rules

Federal Reserve Regulations: Regulations governing margin requirements and credit extensions for broker-dealers

Dodd-Frank Wall Street Reform Act: Comprehensive financial reform legislation including risk management requirements and reporting obligations for broker-dealers

Investment Company Act of 1940: Federal law governing mutual fund distribution agreements and sales practices when broker-dealers deal with investment companies