Securities Act of 1933: Federal law that regulates the offering and sale of securities, requiring registration and disclosure of financial information unless an exemption applies.
Securities Exchange Act of 1934: Federal law governing secondary market trading of securities, establishing the SEC, and mandating periodic reporting requirements.
Sarbanes-Oxley Act 2002: Federal law enhancing corporate responsibility and financial disclosures, primarily applicable to public companies.
Internal Revenue Code: Federal tax legislation affecting the tax treatment of corporate structures, stock transfers, and shareholder distributions.
State Corporation Laws: State-specific laws governing corporate formation, operation, and governance (e.g., Delaware General Corporation Law).
Blue Sky Laws: State-level securities laws regulating the offering and sale of securities to protect investors from fraudulent activities.
State Contract Laws: State-specific laws governing contract formation, enforcement, and interpretation.
SEC Regulations: Federal regulatory framework implementing securities laws, including disclosure requirements and trading rules.
Stock Exchange Rules: Rules and regulations imposed by stock exchanges (e.g., NYSE, NASDAQ) on listed companies.
FINRA Regulations: Rules governing broker-dealers and securities industry professionals.
Corporate Governance Requirements: Rules and principles defining the rights and responsibilities of company management, board, and shareholders.
Fiduciary Duties: Legal obligations of directors and officers to act in the best interests of the company and its shareholders.
Shareholder Rights: Legal provisions governing voting procedures, meetings, and other fundamental shareholder privileges.
Transfer Restrictions: Limitations on the ability to transfer shares, including right of first refusal and other restrictive provisions.
Preemptive Rights: Rights of existing shareholders to maintain their proportional ownership by participating in new share issuances.
Tag-Along and Drag-Along Rights: Provisions allowing minority shareholders to join in (tag-along) or requiring them to join in (drag-along) a sale of the company.
Anti-Dilution Provisions: Protections for shareholders against dilution of their ownership percentage in future financing rounds.
Information Rights: Shareholder rights to receive financial and other company information, including inspection rights.
Registration Rights: Rights of shareholders to require the company to register their shares for public trading.
Buy-Sell Provisions: Terms governing the purchase and sale of shares between shareholders or back to the company under specific circumstances.
