Securities Exchange Act 1934: Primary federal legislation governing securities trading, broker-dealer registration, and disclosure requirements. Establishes framework for securities market regulation and broker-dealer obligations.

Securities Act 1933: The 'truth in securities' law that requires registration of securities offerings and provides anti-fraud provisions for investor protection.

Investment Advisers Act 1940: Federal law regulating investment advisers, particularly relevant if broker provides investment advice. Establishes fiduciary duties and disclosure requirements.

FINRA Rules: Comprehensive set of regulatory rules governing broker conduct, including registration, licensing, best execution obligations, and professional standards.

Bank Secrecy Act: Anti-money laundering legislation requiring customer identification programs and suspicious activity reporting in financial services.

Dodd-Frank Act: Reform legislation enacted post-2008 financial crisis, providing additional oversight requirements and conflict of interest provisions for financial institutions.

State Blue Sky Laws: State-specific securities laws requiring registration and imposing additional disclosure obligations for securities transactions within each state.

State Licensing Requirements: State-specific requirements for broker-dealer and individual broker licensing and registration.

Regulation Best Interest: SEC rule requiring broker-dealers to act in the best interest of retail customers when making recommendations.

Form CRS Requirements: SEC requirement for broker-dealers to provide retail investors with a brief relationship summary document.

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