Securities Act of 1933: Federal law requiring registration of securities offerings and mandating disclosure requirements for public offerings
Securities Exchange Act of 1934: Federal law governing secondary market trading of securities and establishing the SEC
UCC Article 8: Uniform Commercial Code Article governing investment securities, including rules for transfer and ownership
Internal Revenue Code: Federal tax regulations affecting share transfers and related tax implications
State Corporation Laws: State-specific laws governing corporate operations and share transfers within the jurisdiction
Blue Sky Laws: State securities laws regulating the offering and sale of securities to protect investors from fraudulent activities
State UCC Modifications: State-specific adoptions and modifications to the Uniform Commercial Code
SEC Regulations: Federal regulatory requirements for securities transfers and reporting obligations
FINRA Rules: Regulations governing broker-dealers involved in securities transfers
Stock Exchange Rules: Specific requirements for transferring shares listed on stock exchanges
Company Bylaws: Internal company rules governing share transfers and shareholder rights
Articles of Incorporation: Foundational company document that may contain restrictions or requirements for share transfers
Shareholders' Agreements: Private agreements between shareholders affecting transfer rights and restrictions
Medallion Signature Guarantee: Security measure required by many transfer agents to verify the authenticity of a signature
State Tax Requirements: State-specific tax obligations and documentation requirements for share transfers
