Investment Advisers Act of 1940: Primary federal law that regulates investment advisers and their fiduciary obligations to clients
Securities Exchange Act of 1934: Governs securities trading, broker-dealers, and exchanges, including registration and reporting requirements
Securities Act of 1933: Regulates securities offerings and requires registration of securities unless an exemption applies
Dodd-Frank Act: Comprehensive financial reform legislation that enhanced investor protection and regulatory oversight
Investment Company Act of 1940: Regulates investment companies and their activities, including mutual funds and investment products
ERISA Fiduciary Rule: Governs fiduciary responsibilities when dealing with retirement accounts and pension plans
SEC Regulations: Regulatory framework established by the Securities and Exchange Commission for investment advisers
FINRA Rules: Self-regulatory organization rules governing broker-dealers and financial advisors
State Securities Regulations: State-specific rules and registration requirements for investment advisers
CFP Board Requirements: Professional standards for Certified Financial Planners including ethics and conduct rules
Federal Trade Commission Regulations: Consumer protection rules governing unfair and deceptive practices in financial services
Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain information-sharing practices and protect sensitive data
Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering
USA PATRIOT Act: Enhanced anti-money laundering requirements and customer identification procedures
Internal Revenue Code: Federal tax laws affecting investment advice and financial planning services
