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Dodd-Frank Act: Comprehensive financial reform legislation enacted in 2010 that addresses systemic risk, consumer protection, trading restrictions, and capital requirements

Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering, including reporting requirements for cash transactions

Securities Act of 1933: Fundamental law requiring registration of securities offerings and detailed financial/company disclosures to investors

Securities Exchange Act of 1934: Governs secondary market trading, establishes SEC, and requires periodic reporting for public companies

Investment Advisers Act of 1940: Regulates investment advisers, requiring registration and establishing fiduciary duties to clients

Investment Company Act of 1940: Regulates investment companies (mutual funds, ETFs) and their activities, ensuring investor protection

USA PATRIOT Act: Enhances BSA requirements, focusing on anti-terrorism financing and strengthening customer identification procedures

Gramm-Leach-Bliley Act: Requires financial institutions to explain information-sharing practices and protect sensitive customer data

Fair Credit Reporting Act: Regulates collection, dissemination, and use of consumer credit information

Electronic Fund Transfer Act: Establishes rights and responsibilities for electronic fund transfers and consumer protections

SEC Regulations: Comprehensive set of rules governing securities markets, including registration, disclosure, and trading requirements

FINRA Rules: Self-regulatory organization rules governing broker-dealers and protecting investors

Federal Reserve Regulations: Rules governing banking institutions, monetary policy implementation, and financial stability

OCC Guidelines: National bank supervision guidelines ensuring safety, soundness, and compliance

CFPB Requirements: Consumer protection rules for financial products and services

Blue Sky Laws: State-specific securities regulations governing offers and sales of securities

State Banking Regulations: State-specific rules governing banking operations and consumer protection

State Consumer Protection Laws: State-specific regulations protecting consumers in financial transactions

State Data Privacy Laws: State-specific requirements for protecting consumer data and privacy

AML Requirements: Anti-money laundering protocols and procedures required for financial institutions

KYC Requirements: Know Your Customer procedures for verifying customer identity and assessing risks

Data Protection Requirements: Standards for securing and protecting customer financial and personal information

Cybersecurity Regulations: Requirements for maintaining secure systems and protecting against cyber threats

Dispute Resolution Procedures: Required processes for handling customer complaints and resolving disputes

Fiduciary Requirements: Legal obligations to act in the best interest of clients when managing assets or providing advice

Licensing Requirements: Necessary permits and licenses required to provide financial services

Risk Disclosure Requirements: Mandatory disclosures of potential risks associated with financial products and services