Investment Advisers Act of 1940: Primary federal law regulating investment advisers, establishing registration requirements, fiduciary duties, and disclosure obligations
Securities Act of 1933: Federal law governing securities offerings and requiring registration of securities unless an exemption applies
Securities Exchange Act of 1934: Federal law establishing the SEC and regulating secondary market trading
Dodd-Frank Act: Comprehensive financial reform legislation affecting investment advisers, including heightened reporting requirements and regulatory oversight
Investment Company Act of 1940: Federal law regulating investment companies and their interactions with investment advisers
USA PATRIOT Act: Requires client identification procedures and anti-money laundering compliance programs
SEC Form ADV Requirements: Mandatory disclosure requirements for registered investment advisers, including business practices, fees, and conflicts of interest
SEC Custody Rules: Regulations governing how investment advisers must handle and protect client assets
Regulation S-P: SEC privacy regulations governing the collection and protection of client personal information
Blue Sky Laws: State-specific securities regulations that may impose additional requirements on investment advisers
ERISA: Federal law governing retirement accounts and imposing specific fiduciary duties when managing retirement assets
Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering
FINRA Regulations: Self-regulatory organization rules that may apply if the adviser is also a broker-dealer
CFA Institute Standards: Professional conduct standards providing guidance on ethical behavior and professional responsibility in investment management
Internal Revenue Code: Tax provisions affecting investment management and reporting requirements
