Securities Act of 1933: Federal law requiring registration of securities offerings and detailed financial disclosures to protect investors from fraudulent practices
Securities Exchange Act of 1934: Federal law establishing the SEC and governing secondary market trading, including options markets and securities exchanges
Dodd-Frank Act 2010: Comprehensive financial reform legislation affecting derivatives markets, including certain types of options contracts
SEC Regulations: Rules and guidelines established by the Securities and Exchange Commission governing securities trading and market operations
FINRA Rules: Regulatory requirements set by the Financial Industry Regulatory Authority for broker-dealers and trading activities
OCC Rules: Options Clearing Corporation regulations governing clearing, settlement, and risk management of options contracts
Exchange-Specific Rules: Trading and listing requirements specific to exchanges like CBOE or NYSE where the options are traded
Blue Sky Laws: State-specific securities regulations governing securities offerings and trading within individual states
Uniform Commercial Code: Standardized state laws governing commercial transactions, including provisions relevant to options contracts
Internal Revenue Code: Federal tax laws governing the treatment of options trading, including capital gains and losses
Anti-Fraud Provisions: Legal requirements preventing fraudulent practices in options trading and securities markets
Margin Requirements: Regulatory requirements for minimum amount of collateral needed for options trading positions
Position Limits: Regulatory restrictions on the maximum number of options contracts that can be held in specific securities
Exercise and Assignment Procedures: Rules governing how options contracts are exercised and assigned between parties
