Investment Company Act of 1940: Primary federal legislation governing the organization and operation of investment companies, including registration requirements, fiduciary duties, and operational standards

Securities Act of 1933: Federal law regulating the initial offering of securities to the public, requiring registration and comprehensive disclosure requirements

Securities Exchange Act of 1934: Federal law governing securities trading, markets, and establishing the SEC, including ongoing reporting requirements

Investment Advisers Act of 1940: Federal law regulating investment advisers, including registration requirements and fiduciary obligations

Dodd-Frank Act: Comprehensive financial reform legislation affecting investment companies, including enhanced reporting and regulatory oversight

State Corporation Laws: State-specific laws governing corporate formation, operation, and governance requirements

Blue Sky Laws: State-level securities laws regulating the offering and sale of securities to protect investors from fraudulent activities

SEC Regulations: Regulatory requirements and guidelines issued by the Securities and Exchange Commission for investment company compliance

Form N-1A Requirements: SEC registration form requirements for open-end investment companies (mutual funds)

Form N-2 Requirements: SEC registration form requirements for closed-end investment companies

Internal Revenue Code: Federal tax laws affecting investment companies, including requirements for maintaining regulated investment company (RIC) status

Corporate Governance Requirements: Specific provisions regarding company management, board structure, shareholder rights, and operational policies

Investment Objectives Requirements: Legal requirements for clearly stating and adhering to declared investment objectives and policies

Capital Structure Regulations: Requirements regarding share classes, capital raising, and maintenance of required capital levels

Distribution Requirements: Rules governing dividend distributions and income distribution requirements for investment companies