Securities Act of 1933: Federal law that regulates the offering and sale of securities, requiring registration and disclosure of financial and other significant information about the security and issuer
Securities Exchange Act of 1934: Federal law governing secondary trading of securities, establishing the SEC, and regulating securities transactions and intermediaries
UCC Article 8: Uniform Commercial Code Article 8 governing investment securities, including rules for transfer and ownership of securities
Internal Revenue Code: Federal tax regulations affecting security transfers, including capital gains implications and reporting requirements
State Corporate Laws: State-specific laws governing corporate operations, including share transfers and corporate formalities
Blue Sky Laws: State securities laws regulating the offering and sale of securities to protect investors from fraudulent activities
State UCC Adoptions: State-specific adoptions and modifications of the Uniform Commercial Code affecting security transfers
SEC Regulations: Rules and regulations promulgated by the Securities and Exchange Commission governing securities transfers and reporting
FINRA Rules: Regulations set by the Financial Industry Regulatory Authority affecting broker-dealer involvement in securities transfers
Stock Exchange Rules: Specific requirements set by stock exchanges for transferring listed securities
Transfer Restrictions: Limitations on the transfer of securities as specified in corporate bylaws, shareholder agreements, or securities regulations
Medallion Signature Guarantee: Special certification required by transfer agents to verify the authenticity of a signature to protect against fraudulent transfers
