Investment Company Act of 1940: Federal law that regulates investment companies and provides structure for oversight of mutual funds and investment funds
Investment Advisers Act of 1940: Federal law that regulates investment advisers and requires registration with the SEC for certain investment professionals
Securities Act of 1933: Federal law governing the initial offering of securities, requiring registration and disclosure unless an exemption applies
Securities Exchange Act of 1934: Federal law regulating secondary market trading and establishing the SEC
Dodd-Frank Act: Comprehensive financial reform legislation affecting private equity firms, including registration requirements and reporting obligations
ERISA: Employee Retirement Income Security Act - Federal law governing pension investments and fiduciary obligations when pension money is involved
Internal Revenue Code: Federal tax laws specifically relating to partnership taxation and investment vehicles
State Limited Partnership Acts: State-specific laws governing the formation and operation of limited partnerships
Blue Sky Laws: State-specific securities laws governing the offering and sale of securities within each state
Uniform Limited Partnership Act: Model act adopted by many states providing consistent framework for limited partnership formation and operation
SEC Regulations: Rules and regulations promulgated by the Securities and Exchange Commission affecting private equity operations
FINRA Requirements: Rules and regulations from the Financial Industry Regulatory Authority affecting broker-dealer activities
Form PF Requirements: Reporting requirements for private fund advisers to report systemic risk information to the SEC
AML Regulations: Anti-Money Laundering regulations requiring implementation of programs to prevent money laundering
KYC Requirements: Know Your Customer regulations requiring due diligence on investor identity and source of funds
ILPA Guidelines: Institutional Limited Partners Association guidelines providing industry standards for private equity partnerships
UBTI Provisions: Unrelated Business Taxable Income rules affecting tax-exempt investors in private equity funds
ECI Provisions: Effectively Connected Income rules affecting foreign investors in US-based private equity funds
FATCA Compliance: Foreign Account Tax Compliance Act requirements for reporting foreign investments and investors
PFIC Rules: Passive Foreign Investment Company rules affecting offshore investment structures and foreign investors
