Securities Exchange Act 1934: Federal law governing securities trading, establishing SEC, and requiring registration of exchanges, broker-dealers, and market participants
Investment Advisers Act 1940: Federal law regulating investment advisers, requiring registration with SEC and establishing fiduciary duties
Sarbanes-Oxley Act 2002: Federal law enhancing corporate responsibility, financial disclosures, and combat corporate accounting fraud
Dodd-Frank Act 2010: Comprehensive financial reform legislation addressing systemic risk, consumer protection, and financial stability
Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain information-sharing practices and protect sensitive data
SEC Regulations: Regulatory framework governing securities markets, including reporting requirements and disclosure obligations
FINRA Rules: Self-regulatory organization rules governing broker-dealers and protecting investors
GAAP Standards: Generally Accepted Accounting Principles providing standardized accounting rules and procedures
Federal Trade Commission Act: Federal law promoting consumer protection and preventing unfair business practices
State Privacy Laws: State-specific legislation governing data privacy and protection requirements
AICPA Standards: Professional standards and guidelines for certified public accountants
CFA Institute Standards: Ethical and professional standards for chartered financial analysts
State Contract Laws: State-specific legal requirements governing contract formation and enforcement
Uniform Commercial Code: Standardized set of laws governing commercial transactions across states
Professional Liability Standards: Legal framework defining professional responsibilities and potential liability exposure
Fiduciary Duty Requirements: Legal obligations requiring professionals to act in the best interest of their clients
