Securities Exchange Act of 1934: Primary federal legislation governing securities trading, establishing SEC authority and regulatory framework for securities markets
Federal Reserve Regulation T: 12 CFR 220 - Regulation governing extension of credit by brokers and dealers, including margin requirements and account types
FINRA Rule 4210: Comprehensive margin requirements regulation by FINRA, detailing margin levels, maintenance requirements, and risk management standards
FINRA Rule 2264: Requirements for margin disclosure statements, ensuring clients understand risks associated with margin trading
Commodity Exchange Act: Federal law regulating trading of commodity futures, including margin requirements for futures and options
CFTC Regulation 1.17: Minimum financial requirements for futures commission merchants and introducing brokers
Dodd-Frank Act: Comprehensive financial reform legislation including requirements for cleared and uncleared swaps, margin requirements for swap dealers
UCC Article 8: Uniform Commercial Code provisions governing investment securities, including transfer and pledge of securities
UCC Article 9: Uniform Commercial Code provisions governing secured transactions, including security interests in financial assets
Federal Bankruptcy Code: Provisions relating to closeout netting and treatment of secured transactions in bankruptcy scenarios
Bank Holding Company Act: Federal legislation governing banking institutions and their activities, including margin lending
Blue Sky Laws: State-specific securities laws that vary by jurisdiction and govern securities transactions within each state
SEC Rule 10b-5: Anti-fraud provisions prohibiting deceptive practices in connection with securities trading
