Investment Company Act of 1940: Federal law that regulates investment companies and provides framework for oversight of mutual funds and investment trusts
Securities Act of 1933: Federal law requiring registration of securities offerings and detailed financial/company disclosures
Securities Exchange Act of 1934: Federal law governing secondary market trading and establishing the SEC
Investment Advisers Act of 1940: Federal law regulating investment advisers and their responsibilities
Internal Revenue Code: Federal tax law containing specific provisions for trust taxation and reporting requirements
Dodd-Frank Act: Comprehensive financial reform legislation affecting investment vehicles and financial institutions
ERISA: Federal law governing employee benefit plans and their investment components if applicable
State Trust Codes: State-specific laws governing trust formation, administration, and operation
Blue Sky Laws: State-specific securities laws regulating the offering and sale of securities
State Fiduciary Laws: State-specific requirements governing fiduciary duties and responsibilities
Prudent Investor Rules: State-specific guidelines for trustee investment decisions and portfolio management
SEC Regulations: Federal regulatory requirements for securities, investment companies, and investment advisers
FINRA Rules: Self-regulatory organization rules governing broker-dealers and securities firms
AML Regulations: Anti-money laundering requirements for financial institutions and investment vehicles
KYC Requirements: Know Your Customer regulations requiring verification of client identity and suitability
