Securities Act of 1933: Federal law requiring registration of securities offerings and detailed financial disclosures to protect investors from fraudulent practices
Securities Exchange Act of 1934: Federal law governing secondary market trading of securities, establishing the SEC, and requiring ongoing reporting requirements
SEC Rule 144: Regulation governing the public resale of restricted, unregistered, and control securities
Blue Sky Laws: State-specific securities laws that regulate the offering and sale of securities to protect investors from fraudulent activities
Corporate Governance Documents: Company's Articles of Incorporation, Bylaws, and shareholders' agreements that govern stock transfers and ownership restrictions
Internal Revenue Code: Federal tax regulations affecting stock transfers, including capital gains implications and reporting requirements
UCC Article 8: Uniform Commercial Code provisions specifically governing investment securities and their transfer
UCC Article 9: Uniform Commercial Code provisions covering secured transactions, including pledged securities
Stock Exchange Rules: Specific requirements from exchanges like NYSE and NASDAQ governing the transfer of listed securities
Hart-Scott-Rodino Act: Federal law requiring review of large transactions that may have antitrust implications
