Investment Advisers Act of 1940: Primary federal law regulating investment advisers and their fiduciary obligations to clients
Investment Company Act of 1940: Federal law regulating the organization and operation of investment companies and their activities
Securities Act of 1933: Federal law governing securities offerings and requiring registration and disclosure requirements
Securities Exchange Act of 1934: Federal law regulating secondary trading of securities and establishing the SEC
Dodd-Frank Act: Comprehensive financial reform legislation affecting investment management practices and regulatory oversight
ERISA: Federal law governing pension fund management and fiduciary responsibilities for retirement assets
Form ADV Requirements: SEC registration and disclosure requirements for investment advisers
Blue Sky Laws: State-specific securities regulations governing investment activities within individual states
Bank Secrecy Act: Federal law requiring financial institutions to assist government agencies in detecting and preventing money laundering
USA PATRIOT Act: Federal law including provisions for preventing terrorism financing and enhancing anti-money laundering requirements
Internal Revenue Code: Federal tax laws affecting investment management activities and reporting requirements
Gramm-Leach-Bliley Act: Federal law governing privacy and security requirements for financial institutions
Fiduciary Duty Requirements: Legal obligation to act in the best interest of clients, including duty of care and loyalty
Custody Rules: SEC regulations governing how investment advisers must handle and protect client assets
Performance Fee Restrictions: Regulations limiting the use of performance-based fees in investment management agreements
