Investment Advisers Act of 1940: Primary federal law regulating investment advisers and their activities, requiring registration with SEC and establishing fiduciary duties
Investment Company Act of 1940: Regulates the organization and operation of investment companies, including mutual funds and other investment vehicles
Securities Act of 1933: Governs the initial offering of securities and requires full disclosure of material information to investors
Securities Exchange Act of 1934: Regulates secondary market trading and establishes the SEC's authority over the securities industry
Dodd-Frank Act: Comprehensive financial reform legislation affecting asset management, including reporting requirements and systemic risk considerations
ERISA: Employee Retirement Income Security Act governing management of pension funds and establishing strict fiduciary responsibilities
SEC Regulations: Regulatory framework established by the Securities and Exchange Commission for investment advisers and asset managers
FINRA Rules: Self-regulatory organization rules governing broker-dealers and investment firms
Blue Sky Laws: State-specific securities regulations that may apply to asset management activities within particular states
AML Regulations: Anti-Money Laundering requirements for monitoring and reporting suspicious financial activities
KYC Requirements: Know Your Customer protocols for verifying client identity and assessing risk profiles
FATCA: Foreign Account Tax Compliance Act requiring reporting of foreign financial accounts held by US persons
Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering
State Fiduciary Laws: State-specific regulations governing fiduciary duties and responsibilities of asset managers
DOL Fiduciary Rule: Department of Labor regulations regarding fiduciary duties for retirement account advisers
Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain their information-sharing practices and protect sensitive data
State Privacy Laws: State-specific regulations governing the protection and handling of client personal information
Risk Disclosure Requirements: Mandatory disclosure of material risks, performance reporting, and fee structures to clients
