Internal Revenue Code (IRC): Federal tax legislation governing tax classification and requirements for independent contractors and their tax obligations
Securities Exchange Act of 1934: Federal law regulating secondary trading of securities and establishing the SEC, crucial for financial advisor operations
Investment Advisers Act of 1940: Federal law regulating investment advisers' conduct, registration requirements, and fiduciary duties
Securities Act of 1933: Federal law governing primary securities issuance and registration requirements
Dodd-Frank Wall Street Reform: Comprehensive financial reform law affecting financial advisors' obligations and regulatory compliance
FINRA Regulations: Self-regulatory organization rules governing broker-dealers and registered representatives
State Blue Sky Laws: State-specific securities regulations governing financial advisors' activities within each state
State Independent Contractor Laws: State-specific legislation defining and regulating independent contractor relationships
IRS Classification Guidelines: Federal guidelines determining worker classification as independent contractor versus employee
DOL Standards: Department of Labor standards for worker classification and employment relationships
Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain information-sharing practices and protect sensitive data
Bank Secrecy Act: Federal law requiring financial institutions to assist government agencies in detecting and preventing money laundering
USA PATRIOT Act: Federal law including provisions for preventing money laundering and terrorist financing in financial services
Fiduciary Duty Requirements: Federal and state regulations requiring financial advisors to act in clients' best interests
Professional Certification Requirements: Regulatory requirements for professional certifications such as Series 7 and Series 66 licenses
