Securities Act of 1933: Primary federal legislation governing securities offerings, particularly Sections 5 and 4(a)(2) regarding registration requirements and private placement exemptions
Securities Exchange Act of 1934: Federal law governing secondary market trading, securities exchanges, and ongoing reporting requirements for public companies
Regulation D: SEC rules providing exemptions from registration requirements, especially Rule 506 for private placements
Rule 144: SEC rule governing resale restrictions on restricted securities and control securities
Regulation M: Anti-manipulation rules governing distributions and trading activities during offerings
Blue Sky Laws: State-specific securities laws governing registration, disclosure requirements, and exemptions
Stock Exchange Rules: Listing requirements and shareholder approval requirements for NYSE and NASDAQ listed companies
State Corporate Laws: State-specific corporate laws (e.g., Delaware General Corporation Law) governing corporate actions and approvals
Investment Company Act of 1940: Federal legislation regulating investment companies and preventing inadvertent investment company status
Sarbanes-Oxley Act: Federal law establishing corporate governance requirements and enhanced disclosure obligations
FINRA Rules: Regulations governing broker-dealers and trading activities in securities markets
SEC Disclosure Regulations: Requirements for periodic reporting (Forms 8-K, 10-Q, 10-K) and fair disclosure (Regulation FD)
Federal Reserve Regulations: Rules governing margin requirements and trading restrictions in securities markets
Rule 10b-5: SEC anti-fraud provision prohibiting manipulation and deceptive practices in securities trading
Tax Regulations: Federal and state tax implications of equity distributions and securities transactions
GAAP Requirements: Generally Accepted Accounting Principles governing financial reporting and disclosure
Insider Trading Regulations: Rules prohibiting trading based on material non-public information and requiring insider reporting
Beneficial Ownership Rules: Requirements for reporting significant ownership positions (Schedules 13D/G) and changes in ownership
