Federal Securities Laws: Primary federal regulations including Securities Act of 1933, Securities Exchange Act of 1934, SEC regulations and requirements, and Regulation D for private placements
Blue Sky Laws: State-specific securities laws covering registration requirements, disclosure obligations, and relevant exemptions for the specific state where the transaction occurs
Corporate Laws: State-specific corporate laws (such as Delaware General Corporation Law) governing the formation, operation, and regulation of corporations, including compliance with Articles of Incorporation and Bylaws
Tax Laws: Federal Internal Revenue Code and state tax regulations governing equity transfers, including capital gains considerations and tax implications of the transaction
Uniform Commercial Code: Particularly Article 8 (Investment Securities) and Article 9 (Secured Transactions) governing the transfer of securities and related security interests
Employment Laws: ERISA regulations, stock option rules, and employment agreement implications if the equity transfer involves employee equity
Antitrust Laws: Hart-Scott-Rodino Act and Federal Trade Commission requirements for large transactions to prevent anti-competitive practices
Company-Specific Documents: Existing agreements including shareholders' agreements, right of first refusal provisions, tag-along/drag-along rights, and transfer restrictions that may affect the equity transfer
