Securities Exchange Act of 1934: Federal law governing securities trading, broker-dealers, and securities exchanges in the United States. Key legislation for any securities-related brokerage activities.

Commodity Exchange Act: Federal regulation for trading of commodity futures in the United States. Essential if the brokerage agreement involves commodity trading.

Investment Advisers Act of 1940: Federal law that regulates investment advisers. Relevant if the brokerage agreement includes investment advisory services.

Securities Act of 1933: Federal law requiring registration of securities and detailed disclosure requirements for public securities offerings.

Dodd-Frank Act: Comprehensive financial reform legislation that introduced new requirements for broker-dealers and financial institutions.

SEC Regulations: Rules and requirements set by the Securities and Exchange Commission governing securities transactions and broker-dealer conduct.

FINRA Rules: Regulatory requirements set by the Financial Industry Regulatory Authority for broker-dealers and securities firms.

NFA Requirements: National Futures Association rules governing futures trading and related brokerage activities.

Blue Sky Laws: State-specific securities laws that regulate the offering and sale of securities to protect investors from fraudulent activities.

State Broker-Dealer Registration: State-specific requirements for broker-dealer registration and licensing.

Anti-Money Laundering Regulations: Federal requirements to prevent money laundering, including customer identification and transaction monitoring.

Know Your Customer (KYC): Regulatory requirements to verify customer identity and assess risk levels in financial relationships.

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

E-SIGN Act: Federal law ensuring the legal validity of electronic signatures and records in commercial transactions.

Trade Documentation Requirements: Regulatory requirements for maintaining accurate records of trades, transactions, and customer communications.