Securities Act of 1933: Federal law requiring registration of securities offerings and establishing anti-fraud provisions for securities transactions
Securities Exchange Act of 1934: Federal law governing secondary market trading and establishing SEC oversight of securities markets
Investment Advisers Act of 1940: Federal law regulating investment advisers and their activities, including registration requirements
Dodd-Frank Act: Comprehensive financial reform legislation affecting various aspects of financial services including finder's fee arrangements
SEC Broker-Dealer Registration: Federal requirements for registration of persons acting as brokers or dealers in securities transactions
FINRA Regulations: Self-regulatory organization rules governing broker-dealers and associated persons
Rule 10b-5: Anti-fraud provision prohibiting deceptive practices in connection with securities transactions
Blue Sky Laws: State-specific securities regulations governing securities offerings and broker-dealer activities within each state
State Contract Laws: State-specific laws governing formation and enforcement of contracts, including Statute of Frauds requirements
Internal Revenue Code: Federal tax laws affecting treatment of finder's fees and reporting requirements
Form 1099 Requirements: IRS reporting requirements for payments made to independent contractors including finders
Money Transmitter Laws: State and federal regulations governing money transmission activities and licensing requirements
Investment Company Act of 1940: Federal law regulating investment companies and fund structures, including relevant exemptions
Anti-Money Laundering (AML) Regulations: Federal requirements for preventing and detecting money laundering in financial transactions
