Securities Act of 1933: Federal law requiring registration of securities offerings and mandating disclosure requirements to protect investors
Securities Exchange Act of 1934: Federal law governing secondary market trading and establishing the SEC's regulatory authority
Regulation D: SEC rules providing exemptions from securities registration requirements for private placement offerings
State Blue Sky Laws: State-specific securities regulations governing registration and disclosure requirements for securities offerings within each state
UCC Article 3: Uniform Commercial Code provisions governing negotiable instruments and their enforcement
UCC Article 8: Uniform Commercial Code provisions specifically dealing with investment securities and their transfer
UCC Article 9: Uniform Commercial Code provisions governing secured transactions and collateral requirements
State Corporation Laws: State-specific laws governing corporate formation, operations, and stock issuance requirements
Internal Revenue Code: Federal tax laws affecting the tax treatment of stock purchases and promissory notes
Federal Reserve Regulation U: Regulations governing credit extensions secured by margin stock
Federal Reserve Regulation T: Regulations governing credit extensions by broker-dealers
U.S. Bankruptcy Code: Federal laws affecting creditor rights and priority in bankruptcy proceedings
State Contract Laws: State-specific laws governing contract formation, enforcement, and remedies
State Usury Laws: State-specific regulations limiting maximum interest rates and affecting note terms
