Securities Act of 1933: Federal law governing the issuance and transfer of securities, requiring registration and disclosure requirements for securities transactions
Securities Exchange Act of 1934: Federal law establishing the SEC and regulating secondary market trading of securities
UCC Article 8: Uniform Commercial Code provisions specifically governing investment securities and their transfer
State Corporation Laws: State-specific regulations governing corporate operations and stock transfers within that jurisdiction
Blue Sky Laws: State-specific securities laws regulating the offering and sale of securities to protect investors from fraudulent activities
Internal Revenue Code: Federal tax regulations governing the tax implications of stock transfers, including capital gains and gift tax provisions
Articles of Incorporation: Company-specific foundational document that may contain restrictions or requirements for stock transfers
Corporate Bylaws: Internal rules governing company operations, including potential restrictions on stock transfers
Shareholder Agreements: Private agreements between shareholders that may contain right of first refusal or other transfer restrictions
UCC Article 9: Uniform Commercial Code provisions governing secured transactions that may affect encumbered stock transfers
KYC Regulations: Know Your Customer rules requiring verification of the identity of parties involved in financial transactions
AML Regulations: Anti-Money Laundering regulations designed to prevent the transfer of illegally obtained funds
FINRA Regulations: Financial Industry Regulatory Authority rules that may apply to certain stock transfers, especially if involving regulated entities
