Securities Act of 1933: Federal law governing registration and disclosure requirements for securities offerings, including requirements for providing financial and other significant information about securities being offered and prohibiting deceit and misrepresentation
Securities Exchange Act of 1934: Federal law regulating secondary trading of securities, establishing SEC, and mandating ongoing reporting requirements for publicly traded companies
Regulation D: SEC rules providing exemptions from securities registration requirements, commonly used for private placement offerings
Rule 144: SEC rule governing the resale of restricted and control securities, including holding period requirements and limitations on sales
Blue Sky Laws: State-specific securities laws governing registration, disclosure requirements, and exemptions for securities offerings within each state
State Corporation Laws: State-specific laws governing corporate formation, operation, and shareholder rights, with Delaware General Corporation Law being particularly significant
Internal Revenue Code: Federal tax laws affecting stock investments, including provisions for capital gains, dividends, and other investment-related tax implications
Investment Company Act of 1940: Federal law regulating investment companies and mutual funds, including registration, disclosure requirements, and operational standards
Dodd-Frank Act: Comprehensive financial reform legislation affecting private investments, including increased disclosure requirements and regulatory oversight
Sarbanes-Oxley Act: Federal law establishing enhanced corporate accountability standards, particularly relevant for public companies or those planning to go public
CFIUS Regulations: Regulations governing review of foreign investments in U.S. companies for national security implications
Anti-Money Laundering Laws: Including Bank Secrecy Act and USA PATRIOT Act requirements for preventing money laundering through investment transactions
