Securities Exchange Act 1934: Federal law governing securities trading, broker-dealer registration, and market regulation. Essential for securities broker agreements.

RESPA: Real Estate Settlement Procedures Act - Federal law governing real estate transactions and associated settlement services.

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

FCPA: Foreign Corrupt Practices Act - Federal law prohibiting bribery of foreign officials and requiring proper accounting practices.

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

State Licensing Requirements: Various state-specific regulations governing broker licensing, continuing education, and operational requirements.

State Securities Regulations: State-level laws governing securities trading and broker operations within specific states (Blue Sky Laws).

State Contract Laws: State-specific requirements for contract formation, enforcement, and interpretation.

SEC Regulations: Securities and Exchange Commission rules governing securities broker conduct, registration, and operations.

FINRA Rules: Financial Industry Regulatory Authority requirements for member firms, including conduct rules and operational standards.

Professional Standards: Industry-specific ethical guidelines and professional conduct requirements for brokers.

Commission Regulations: Rules governing commission splitting, fee arrangements, and compensation between brokers.

Disclosure Requirements: Mandatory disclosures of material information, conflicts of interest, and fee structures between brokers.

Data Protection Requirements: Regulations governing the handling, storage, and protection of sensitive business and customer information.

Statute of Frauds: Legal requirement that certain contracts must be in writing to be enforceable.