Securities Act of 1933: Primary federal legislation governing securities registration and issuance requirements, particularly Section 5 regarding registration of securities offerings
Securities Exchange Act of 1934: Federal law governing secondary market trading, securities exchanges, and ongoing reporting requirements for public companies
Regulation D: SEC rules providing exemptions from registration requirements for private placement offerings, commonly used for non-public equity distributions
Rule 144: SEC rule governing resale restrictions on securities and requirements for selling restricted securities
Blue Sky Laws: State-specific securities laws governing registration, disclosure requirements, and exemptions for securities offerings within each state
Stock Exchange Rules: Listing requirements and trading regulations set by major exchanges like NYSE and NASDAQ that may affect equity distribution
State Corporate Laws: State-specific corporate laws governing corporate actions, including Delaware General Corporation Law for Delaware corporations
Investment Company Act of 1940: Federal legislation regulating investment companies and their activities in securities markets
Regulation FD: Fair Disclosure regulation requiring public companies to disseminate material information to all investors simultaneously
Regulation M: SEC regulation governing trading activities during securities distributions to prevent market manipulation
FINRA Rules: Regulatory requirements governing broker-dealer conduct and trading practices in securities markets
Uniform Commercial Code: State-adopted uniform laws governing commercial transactions, particularly Articles 8 and 9 regarding investment securities and secured transactions
Rule 10b-5: Key anti-fraud provision prohibiting deceptive practices in connection with securities trading
Internal Revenue Code: Federal tax laws and regulations affecting equity distributions and their tax implications for issuers and investors
