Securities Act of 1933: Primary federal legislation regulating the offering of securities, including registration requirements and exemptions for primary issuance of stock
Securities Exchange Act of 1934: Federal law governing secondary trading of securities, reporting requirements, and anti-fraud provisions
Regulation D: SEC rules providing exemptions from federal registration requirements for private placement offerings
Rule 144: SEC rule governing the resale of restricted securities and control securities
Blue Sky Laws: State-specific securities laws governing registration, disclosure requirements, and exemptions within each state
State Corporation Laws: State-specific laws governing corporate formation, governance, and stock issuance (e.g., Delaware General Corporation Law)
Internal Revenue Code: Federal tax regulations affecting stock issuance, transfer, and related transactions
Investment Company Act of 1940: Federal legislation regulating investment companies and their securities offerings
Sarbanes-Oxley Act: Federal law establishing enhanced corporate governance and financial disclosure requirements for public companies
JOBS Act: Federal legislation affecting private placements and crowdfunding regulations for securities offerings
SEC Form D Requirements: Filing requirements for companies conducting private placements under Regulation D
Rule 10b-5: SEC anti-fraud provision prohibiting deceptive practices in connection with securities transactions
Stock Exchange Rules: Listing and trading requirements imposed by stock exchanges for publicly traded securities
Accredited Investor Rules: SEC regulations defining qualified investors eligible to participate in certain private securities offerings
Integration Rules: SEC guidelines determining when multiple securities offerings should be treated as a single offering
