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Securities Exchange Act 1934: Federal law governing securities trading and broker-dealer activities, establishing registration and conduct requirements for securities brokers

Dodd-Frank Act: Comprehensive financial reform legislation affecting broker activities, including enhanced reporting requirements and fiduciary duties

Foreign Corrupt Practices Act: Federal law prohibiting bribery of foreign officials in international business transactions, relevant for brokers operating internationally

Anti-Money Laundering Regulations: Federal requirements for brokers to maintain programs to detect and prevent money laundering activities

Bank Secrecy Act: Requires brokers to assist government agencies in detecting and preventing money laundering by maintaining records and filing reports

State Broker Registration Requirements: State-specific laws requiring brokers to register and maintain licenses in jurisdictions where they operate

State Licensing Laws: State-level requirements for broker licensing, continuing education, and maintenance of professional standards

State Contract Laws: State-specific rules governing contract formation, enforcement, and interpretation

State Consumer Protection Laws: State-level regulations protecting consumers from unfair or deceptive practices by brokers

FINRA Regulations: Rules and requirements set by the Financial Industry Regulatory Authority for securities brokers and dealers

Real Estate Broker Regulations: Specific rules governing real estate broker activities, including licensing and conduct requirements

Insurance Broker Regulations: Specific rules governing insurance broker activities, including licensing and conduct requirements

CFTC Regulations: Commodity Futures Trading Commission rules governing commodity brokers and futures trading

Statute of Frauds: Legal requirement that certain contracts must be in writing to be enforceable

Uniform Commercial Code: Standardized set of laws governing commercial transactions, including broker activities in commerce

Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain their information-sharing practices and protect sensitive data

Independent Contractor Classification Rules: Federal and state guidelines for determining whether a broker is an independent contractor or employee

State Labor Laws: State-specific regulations governing employment relationships and worker protection