The Securities and Exchange Commission (SEC) is the primary regulatory body responsible for overseeing the financial services industry in the United States.

Financial services compliance aims to achieve multiple objectives, including protecting consumers, ensuring the stability of the financial system, and promoting fair and orderly markets.

The Securities Act of 1933 is the primary legislation that regulates the public offering of securities in the United States.

The Bank Secrecy Act (BSA) is a federal law that requires financial institutions to report suspicious transactions to the government in order to combat money laundering and terrorist financing.

Fiduciary Duty is a legal and ethical obligation that requires professionals, such as financial advisors, to act in the best interests of their clients and avoid conflicts of interest.

The Dodd-Frank Wall Street Reform and Consumer Protection Act was enacted in response to the 2008 financial crisis and aims to address systemic risks, protect consumers, and establish the Consumer Financial Protection Bureau.

Basel III is a set of international banking regulations that aim to strengthen the resilience of the financial system by imposing capital requirements on banks and other financial institutions.

The Gramm-Leach-Bliley Act repealed the Glass-Steagall Act, which had separated commercial banking, investment banking, and insurance activities, and allowed banks to engage in a broader range of financial services.

Transparency is an ethical principle that emphasizes the importance of honesty, integrity, and openness in financial dealings.

The Consumer Financial Protection Bureau (CFPB) is an independent federal agency that aims to protect consumers from unfair, deceptive, or abusive financial practices, promote financial literacy and education, and regulate the financial services industry.

The Gramm-Leach-Bliley Act includes provisions to protect consumers' personal financial information from unauthorized access or use.

The Sarbanes-Oxley Act of 2002 was enacted in response to corporate scandals and aims to improve corporate governance, protect investors, and establish the Public Company Accounting Oversight Board.

Fairness is an ethical principle that emphasizes the importance of treating customers fairly and avoiding discrimination.

The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that regulates the securities industry, protects investors, and promotes fair and orderly markets.

The Truth in Lending Act aims to protect consumers from predatory lending practices by requiring lenders to disclose the terms and conditions of loans in a clear and understandable manner.