Uniform Partnership Act (UPA): Federal law providing the basic framework for partnership formation, operation, and dissolution in the United States
Securities Exchange Act of 1934: Federal law governing securities trading and broker-dealer registration requirements for financial businesses
Investment Company Act of 1940: Federal legislation regulating the organization and activities of investment companies and mutual funds
Investment Advisers Act of 1940: Federal law regulating investment advisers and their activities in the financial sector
Bank Secrecy Act (BSA): Federal law requiring financial institutions to assist government agencies in detecting and preventing money laundering
Dodd-Frank Wall Street Reform: Comprehensive financial reform legislation enacted in response to the 2008 financial crisis, affecting various aspects of financial services
State Partnership Acts: State-specific laws governing partnership formation, operation, and dissolution within individual states
State Securities Regulations: State-level requirements for securities registration and trading within state jurisdictions
State Banking and Finance Laws: State-specific regulations governing banking and financial services operations
SEC Regulations: Rules and requirements set by the Securities and Exchange Commission for financial industry participants
FINRA Requirements: Rules and regulations set by the Financial Industry Regulatory Authority for member firms and associated persons
Federal Reserve Regulations: Rules and requirements established by the Federal Reserve System affecting financial institutions
Internal Revenue Code: Federal tax laws affecting partnership taxation and financial business operations
CFPB Regulations: Consumer protection rules established by the Consumer Financial Protection Bureau for financial services
Fair Credit Reporting Act: Federal law governing the collection, dissemination, and use of consumer credit information
Equal Credit Opportunity Act: Federal law prohibiting discrimination in credit transactions based on various protected characteristics
Truth in Lending Act: Federal law requiring disclosure of key terms and costs in lending transactions to promote informed consumer use of credit
