Securities Exchange Act 1934: Federal legislation governing securities trading and broker-dealer relationships. Essential for advisory services related to securities markets.
Investment Advisers Act 1940: Key federal law regulating investment advisers and their responsibilities to clients, including registration and disclosure requirements.
Dodd-Frank Act: Comprehensive financial reform legislation affecting advisory services, particularly in areas of systemic risk and consumer protection.
Sarbanes-Oxley Act: Corporate governance and financial disclosure law crucial for advisory services to public companies.
JOBS Act: Legislation affecting capital raising and advisory services for emerging growth companies.
AICPA Professional Standards: Professional guidelines for accounting and financial advisory services, including ethical requirements and best practices.
Gramm-Leach-Bliley Act: Federal law governing financial privacy and data protection requirements for financial institutions and advisors.
State Contract Laws: State-specific regulations governing contract formation, enforcement, and interpretation.
Uniform Commercial Code: Standardized commercial laws adopted by states affecting business transactions and contracts.
Professional Liability Standards: Legal requirements and industry standards for professional liability and risk management in advisory services.
SEC Regulations: Federal securities regulations affecting advisory services, including registration, disclosure, and compliance requirements.
FINRA Requirements: Self-regulatory organization rules affecting financial advisors and broker-dealers.
Trade Secrets Protection: Federal and state laws protecting confidential business information and trade secrets.
Federal Trade Commission Act: Consumer protection legislation preventing unfair or deceptive practices in commerce.
State Consumer Protection Laws: State-specific regulations protecting consumers in business transactions and advisory relationships.
