Securities Exchange Act: Federal law governing securities trading and broker-dealer relationships, essential if advisory services involve securities
Investment Advisers Act of 1940: Federal law regulating investment advisers, crucial if providing investment-related advisory services
Internal Revenue Code: Federal tax laws affecting compensation structure and tax implications of the advisory relationship
Federal Trade Commission Act: Regulations concerning unfair business practices and consumer protection in advisory relationships
Defend Trade Secrets Act: Federal law protecting confidential information and trade secrets shared during advisory services
State Contract Laws: State-specific regulations governing contract formation, enforcement, and interpretation
State Business Regulations: Local requirements for business operations and professional services
State Professional Licensing: Requirements for professional licenses and permits specific to the advisory services industry
Fair Labor Standards Act: Federal law governing employment relationships and worker classification standards
State Data Privacy Laws: State-specific requirements for handling and protecting sensitive information
Gramm-Leach-Bliley Act: Federal law governing privacy and security requirements for financial institutions and advisors
State Professional Liability Laws: Regulations concerning professional negligence and liability in advisory services
Copyright Act: Federal law protecting original works created during advisory services
Patent Act: Federal law protecting inventions and innovations that may arise during advisory services
Trademark Laws: Federal and state laws protecting brands and marks used in advisory services
