Investment Advisers Act of 1940: Primary federal law regulating investment advisers, establishing registration requirements, fiduciary duties, and disclosure obligations
Securities Exchange Act of 1934: Fundamental securities law governing securities transactions and establishing the SEC, relevant for investment advisor operations and securities trading
Investment Company Act of 1940: Federal law regulating investment companies and their interactions with investment advisers
Dodd-Frank Act 2010: Comprehensive financial reform legislation affecting investment advisers, including registration requirements and increased oversight
SEC Regulations: Regulatory framework established by the Securities and Exchange Commission governing investment adviser conduct and compliance requirements
State Securities Regulations: State-specific rules and requirements for investment advisers operating within particular jurisdictions
FINRA Rules: Self-regulatory organization rules affecting investment advisers who are also broker-dealer affiliated
Fiduciary Duty Standards: Legal obligation requiring investment advisers to act in the best interest of their clients, including both federal and state standards
DOL Fiduciary Rules: Department of Labor regulations specific to handling retirement accounts and ERISA-governed assets
Form ADV Requirements: Mandatory disclosure document requirements for registered investment advisers, including business practices, fees, and conflicts of interest
Anti-Money Laundering Regulations: Compliance requirements for preventing, detecting, and reporting potential money laundering activities
Gramm-Leach-Bliley Act: Privacy law requirements for handling and protecting client financial information
ERISA Regulations: Employee Retirement Income Security Act rules governing retirement account management and related fiduciary responsibilities
Regulation Best Interest: SEC rule establishing a 'best interest' conduct standard for broker-dealers and affecting investment adviser interactions
Form CRS Requirements: Client Relationship Summary requirements mandating standardized disclosure of services, fees, and conflicts of interest
