Investment Advisers Act of 1940: Primary federal law regulating investment advisers. Sets forth registration requirements, fiduciary duties, and disclosure obligations for investment advisers.

Investment Company Act of 1940: Federal law regulating the organization and operation of investment companies, including mutual funds and other investment vehicles.

Securities Act of 1933: Fundamental securities law requiring registration of securities offerings and mandating disclosure requirements to protect investors.

Securities Exchange Act of 1934: Governs secondary market trading and establishes the SEC. Contains anti-fraud provisions and ongoing reporting requirements.

Dodd-Frank Act: Comprehensive financial reform legislation that enhanced regulatory oversight and introduced new requirements for investment advisers.

ERISA: Employee Retirement Income Security Act - Critical when managing retirement assets, setting strict fiduciary standards and operational requirements.

SEC Regulations: Detailed rules and regulations implemented by the Securities and Exchange Commission governing investment management activities.

FINRA Rules: Self-regulatory organization rules governing broker-dealers and their interactions with investment advisers.

Blue Sky Laws: State-specific securities regulations that must be considered alongside federal requirements.

Form ADV Requirements: Mandatory disclosure document for registered investment advisers, detailing business practices, fees, conflicts of interest, and disciplinary history.

Bank Secrecy Act: Anti-money laundering requirements including customer identification and suspicious activity reporting.

USA PATRIOT Act: Enhanced AML requirements and customer due diligence obligations for financial institutions.

Gramm-Leach-Bliley Act: Privacy law requirements for financial institutions, including obligations regarding the protection and disclosure of customer information.