This chapter describes the regulatory architecture that supports trust, transparency, and stability in the delivery of financial products and services. The chapter explains how regulatory frameworks translate into day-to-day obligations for financial advisors. The discussion highlights what are defined in the chapter as the “Big Six” laws: the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act and Investment Advisers Act of 1940, the Dodd-Frank Act, and AML/KYC protocols. The discussion also contrasts fiduciary versus best-interest standards and clarifies the complementary roles of the SEC, FINRA, DOL/ERISA, CFPB, FinCEN, and state “blue sky” authorities. Cases are used to illustrate how supervision failures and conflicts result in client harm and negative firm outcomes. The chapter also situates U.S. regulators within the global context of MiFID II, Basel III, Solvency II, and Canadian compliance frameworks. The chapter then explains the roles of certification bodies (e.g., CFP Board, CFA Institute, NAPFA, IWI, AICPA) in enforcing financial advisor practice standards. The chapter concludes with a discussion of emerging compliance frontiers related to crypto/digital assets, data privacy and cybersecurity, ESG disclosure, cross-border harmonization, the rise of RegTech for monitoring, reporting, and surveillance.