Securities Act of 1933: Federal law that regulates the offering and sale of securities, requiring registration and disclosure of important financial information to protect investors
Securities Exchange Act of 1934: Federal law governing secondary market trading of securities, establishing the SEC and requirements for market participants
Investment Company Act of 1940: Regulates investment companies and their products, including registration, disclosure requirements, and fiduciary duties
Investment Advisers Act of 1940: Federal law regulating investment advisers, including registration requirements and fiduciary responsibilities
Trust Indenture Act: Federal law governing the conduct of trustees in debt securities offerings and protecting bondholders' rights
FATCA: Foreign Account Tax Compliance Act requiring foreign financial institutions to report on U.S. account holders
Uniform Trust Code: Model law adopted by many states providing standardized rules for trust creation, administration, and enforcement
State Corporate Laws: State-specific laws governing corporate formation, operation, and shareholder rights
Internal Revenue Code - Trust Provisions: Federal tax regulations specific to trusts, including income taxation, distributions, and reporting requirements
Bank Secrecy Act: Federal law requiring financial institutions to assist government agencies in detecting and preventing money laundering
USA PATRIOT Act: Federal law expanding AML requirements and establishing additional due diligence requirements for financial institutions
FinCEN Regulations: Financial Crimes Enforcement Network rules governing reporting and compliance requirements for financial institutions
Common Law Fiduciary Duties: Legal principles establishing duties of loyalty, care, and good faith for trustees and fiduciaries
SEC Beneficial Ownership Rules: Regulations requiring disclosure of beneficial ownership in securities above certain thresholds
