Securities Act of 1933: Primary federal legislation governing securities offerings, with particular focus on Sections 4(a)(2) and Regulation D for private placements and exemptions
Securities Exchange Act of 1934: Federal law governing secondary market trading and ongoing reporting requirements for public companies
State Blue Sky Laws: State-specific securities regulations including registration requirements, exemptions, and disclosure obligations
Delaware General Corporation Law: Corporate law framework for Delaware-incorporated companies, particularly relevant for corporate authority and stock issuance
Internal Revenue Code Section 409A: Federal tax provisions governing deferred compensation and equity awards, including warrants
Investment Company Act of 1940: Federal legislation regulating investment companies and their activities in the securities markets
Rule 10b-5: Anti-fraud provision under Securities Exchange Act prohibiting deceptive practices in securities transactions
FINRA Regulations: Rules governing broker-dealers who may be involved in warrant transactions
UCC Article 8: Uniform Commercial Code provisions governing investment securities and their transfer
UCC Article 9: Uniform Commercial Code provisions governing secured transactions, relevant if warrants are used as collateral
Federal Reserve Regulation T: Regulations governing margin requirements in securities transactions
Investment Advisers Act of 1940: Federal law regulating investment advisers and their responsibilities in securities transactions
