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 of securities
Dodd-Frank Act: Comprehensive financial reform legislation affecting investment advisers, including reporting requirements and enhanced oversight
Investment Company Act of 1940: Federal law regulating investment companies and their interactions with investment advisers
Form ADV Requirements: SEC registration and disclosure form requirements for investment advisers, including business practices, fees, and conflicts of interest
Regulation S-P: SEC privacy rules governing the treatment of nonpublic personal information about consumers by financial institutions
Blue Sky Laws: State-specific securities regulations that vary by jurisdiction and may impose additional requirements on investment advisers
ERISA: Federal law governing retirement accounts and imposing specific fiduciary duties when advising on retirement assets
Bank Secrecy Act: Federal law requiring financial institutions to assist government agencies in detecting and preventing money laundering
USA PATRIOT Act: Federal law requiring customer identification programs and enhanced due diligence procedures
CFA Institute Standards: Professional conduct requirements and ethical standards for investment professionals
