Securities Act of 1933: Federal law governing registration and disclosure requirements for securities offerings, including mandatory disclosure of company information and financial statements to investors
Securities Exchange Act of 1934: Federal law establishing ongoing reporting requirements for publicly traded companies and regulating secondary market trading
Regulation D: SEC rules providing exemptions from federal registration requirements for private placement offerings, including Rules 504, 506(b), and 506(c)
Rule 144: SEC rule governing the resale of restricted and control securities, including holding period requirements and volume limitations
Blue Sky Laws: State-specific securities laws governing registration, disclosure requirements, and exemptions for securities offerings within each state
State Corporation Laws: State-specific laws governing corporate formation, governance, and operations, with Delaware General Corporation Law being particularly significant
Internal Revenue Code: Federal tax laws affecting share issuance, including provisions for stock options, Section 83(b) elections, and tax treatment of equity compensation
Exchange Rules: Requirements set by major stock exchanges (NYSE, NASDAQ) governing listed companies, including corporate governance and disclosure obligations
Sarbanes-Oxley Act: Federal law establishing enhanced corporate governance and financial disclosure requirements for public companies
Investment Company Act: Federal law regulating investment companies and mutual funds, including registration and disclosure requirements
Hart-Scott-Rodino Act: Federal antitrust law requiring notification and review of certain acquisitions of voting securities
ERISA: Federal law governing employee benefit plans, including requirements for equity-based compensation in retirement plans
IRC Section 409A: Tax code section governing deferred compensation arrangements, including certain equity-based compensation structures
