Securities Act of 1933: Primary federal law governing registration requirements and exemptions for securities offerings, including mandatory disclosure requirements and anti-fraud provisions
Securities Exchange Act of 1934: Federal law establishing ongoing reporting requirements, registration, and regulation of securities exchanges, brokers, and dealers
Regulation D: SEC rules providing exemptions from federal registration requirements for private placement offerings, including Rules 506(b) and 506(c)
Regulation A+: SEC regulation allowing smaller companies to offer and sell securities to the public with reduced disclosure requirements (mini-IPO provisions)
Blue Sky Laws: State-specific securities laws governing registration requirements, disclosure obligations, and investor qualification standards within each state's jurisdiction
Delaware General Corporation Law: Comprehensive state law governing corporate formation, operation, and governance for Delaware corporations, often used as the primary incorporation jurisdiction
Investment Company Act of 1940: Federal law regulating investment companies, including registration requirements and exemptions for investment vehicles
Internal Revenue Code: Federal tax legislation governing the tax treatment of different classes of stock, equity compensation, and corporate transactions
ERISA: Employee Retirement Income Security Act governing employee benefit plans, including equity-based compensation arrangements
SEC Anti-Fraud Provisions: Regulations prohibiting fraudulent practices in securities transactions, including Rule 10b-5 and other disclosure requirements
Dodd-Frank Act: Comprehensive financial reform legislation including corporate governance requirements and disclosure obligations for public companies
Hart-Scott-Rodino Act: Federal law requiring pre-merger notifications and reviews for larger transactions meeting specific size thresholds
CFIUS Regulations: Committee on Foreign Investment in the United States regulations governing review of foreign investments in U.S. companies for national security implications
