Securities Act of 1933: Primary federal legislation governing securities offerings, particularly Sections 4(a)(2) and Regulation D for private placements and exemptions
Securities Exchange Act of 1934: Federal law governing secondary market trading and establishing SEC oversight of securities markets
Investment Company Act of 1940: Federal legislation regulating investment companies and mutual funds, including registration and disclosure requirements
Investment Advisers Act of 1940: Federal law regulating investment advisers and their responsibilities to investors
Blue Sky Laws: State-specific securities laws governing registration requirements, investor qualification standards, and disclosure requirements
Accredited Investor Rules: SEC Rule 501 of Regulation D defining investor qualification standards based on income, net worth, and verification requirements
Bank Secrecy Act: Anti-money laundering legislation requiring financial institutions to assist government agencies in detecting and preventing money laundering
USA PATRIOT Act: Federal law expanding AML requirements and establishing additional due diligence procedures for financial institutions
JOBS Act: Legislation affecting general solicitation rules and crowdfunding provisions for private offerings
Internal Revenue Code: Federal tax legislation affecting investment structures, distributions, and reporting requirements
FATCA: Foreign Account Tax Compliance Act requirements for foreign investors and offshore investments
State Corporate Laws: State-specific legislation governing corporate formation, governance, and operational requirements
State Contract Laws: State-specific requirements for contract formation, enforcement, and interpretation including Statute of Frauds
Uniform Commercial Code: Standardized state laws governing commercial transactions, including investment securities under Article 8
