Securities Exchange Act 1934: Federal law governing securities trading and establishing SEC oversight, crucial for financial advisor operations and information handling
Investment Advisers Act 1940: Federal law regulating investment advisers' conduct and responsibilities, including their obligations regarding client information
Gramm-Leach-Bliley Act (GLBA): Federal law requiring financial institutions to explain their information-sharing practices and protect sensitive client data
Regulation S-P: SEC regulation implementing GLBA's privacy provisions, specifically for financial institutions' handling of consumer financial information
Regulation FD: Fair Disclosure regulation preventing selective disclosure of material nonpublic information
Economic Espionage Act 1996: Federal law protecting trade secrets and confidential business information
Defend Trade Secrets Act 2016: Federal law providing uniform standards for trade secret protection and remedies for misappropriation
State Trade Secrets Laws: State-specific regulations governing protection of trade secrets and confidential business information
State Financial Privacy Laws: State-specific regulations governing financial privacy and data protection requirements
SEC Regulations: Comprehensive regulatory framework governing securities industry practices and advisor conduct
FINRA Rules: Self-regulatory organization rules governing broker-dealers and financial advisors' professional conduct
CFA Institute Code of Ethics: Professional standards and ethical guidelines for chartered financial analysts and advisors
CFP Board Standards: Professional standards for Certified Financial Planners including confidentiality obligations
