Securities Act of 1933: 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 regulating secondary trading of securities, establishing SEC, and mandating periodic reporting requirements for public companies
Regulation D: SEC rules providing exemptions from securities registration requirements, particularly for private placement offerings
Rule 144: SEC rule governing the resale of restricted securities and control securities, including holding period requirements
Blue Sky Laws: State-specific securities laws governing registration, disclosure requirements, and exemptions for securities offerings within each state
Delaware General Corporation Law: Primary corporate law statute for Delaware corporations, governing corporate formation, operations, and shareholder rights
Internal Revenue Code: Federal tax laws affecting securities transactions, including tax implications of stock transfers and capital gains
CFIUS Regulations: Regulations governing review of foreign investments in U.S. companies for national security implications
Hart-Scott-Rodino Act: Antitrust law requiring notification and review of large securities transactions that may impact market competition
UCC Article 8: Uniform Commercial Code provisions governing investment securities, including transfer and holding of securities
UCC Article 9: Uniform Commercial Code provisions governing secured transactions, including security interests in investment securities
Sarbanes-Oxley Act: Federal law establishing enhanced corporate governance and financial disclosure requirements for public companies
JOBS Act: Federal law easing securities regulations for smaller companies and enabling crowdfunding
Dodd-Frank Act: Federal law implementing comprehensive financial regulatory reform, including provisions affecting securities transactions
Stock Exchange Rules: Specific requirements set by exchanges like NYSE or NASDAQ governing listed companies and securities trading
