Securities Act of 1933: Federal law governing the initial offering and sale of securities, requiring registration and disclosure unless an exemption applies
Securities Exchange Act of 1934: Federal law regulating secondary market trading of securities and establishing the SEC's regulatory authority
SEC Rule 144: Regulation governing the public resale of restricted and control securities
Blue Sky Laws: State-specific securities laws governing registration, exemption, and disclosure requirements for securities transactions within each state
UCC Article 3: Uniform Commercial Code provisions governing negotiable instruments, including promissory notes and drafts
UCC Article 8: Uniform Commercial Code provisions governing investment securities and their transfer
UCC Article 9: Uniform Commercial Code provisions governing secured transactions and security interests in personal property
Internal Revenue Code: Federal tax laws affecting the tax treatment of note exchanges and debt modifications
State Corporation Laws: State-specific laws governing corporate authority to issue securities and corporate governance requirements
Bankruptcy Code: Federal laws governing bankruptcy proceedings and treatment of debt instruments in bankruptcy
Dodd-Frank Act: Federal law implementing financial regulatory reform, including provisions affecting securities and financial instruments
Bank Holding Company Act: Federal law governing the activities and supervision of bank holding companies and their subsidiaries
