Securities Act of 1933: Primary federal legislation governing the offer and sale of securities, requiring registration and detailed financial disclosure unless an exemption applies
Securities Exchange Act of 1934: Federal law regulating secondary market trading of securities, establishing the SEC, and governing ongoing reporting requirements
Regulation D: SEC rules providing exemptions from securities registration requirements for private placement offerings
Rule 144: SEC rule governing the public resale of restricted and control securities
Blue Sky Laws: State-specific securities laws governing securities offerings, broker-dealer registration, and investor protection within each state
Delaware General Corporation Law: Comprehensive state legislation governing corporate affairs for Delaware corporations, often used as a model for corporate governance
Internal Revenue Code: Federal tax laws affecting securities distributions, including tax implications for issuers and recipients
Investment Company Act of 1940: Federal legislation regulating investment companies and their activities, including mutual funds and closed-end funds
Hart-Scott-Rodino Act: Antitrust legislation requiring companies to file pre-merger notifications for large transactions
Uniform Commercial Code: State-adopted uniform laws governing commercial transactions, particularly Articles 8 and 9 for securities and secured transactions
CFIUS Regulations: Federal regulations governing review of foreign investments in U.S. companies for national security implications
ERISA: Federal law governing employee benefit plans, including requirements for stock-based compensation and employee stock ownership plans
IRC Section 409A: Tax code section governing deferred compensation, including certain equity-based compensation arrangements
Stock Exchange Rules: Regulations set by major exchanges (NYSE, NASDAQ) governing listed companies and trading activities
