Securities Act of 1933: Primary federal law governing the initial offering and sale of securities, requiring registration and full disclosure unless an exemption applies
Securities Exchange Act of 1934: Federal law regulating secondary trading of securities, establishing SEC oversight and registration requirements for securities exchanges
SEC Rule 144: Regulation governing the public resale of restricted and control securities, providing safe harbor for sales
Blue Sky Laws: State-specific securities regulations that govern the offering and sale of securities to protect investors from fraudulent activities
Delaware General Corporation Law: Comprehensive set of laws governing corporate affairs for Delaware-incorporated entities, often used as a model for corporate governance
Internal Revenue Code - Stock Transfers: Federal tax provisions governing the tax implications and reporting requirements for stock transfers
UCC Article 8: Uniform Commercial Code article governing investment securities, including rules for transfer and ownership
UCC Article 9: Uniform Commercial Code article covering secured transactions, including security interests in investment securities
Corporate Governance Documents: Internal company documents including Articles of Incorporation, Bylaws, and existing shareholder agreements that may affect share transfers
Stock Exchange Regulations: Rules and requirements set by stock exchanges governing the trading and transfer of listed securities
SEC Rule 10b-5: Anti-fraud provision prohibiting any act or omission resulting in fraud or deceit in connection with the purchase or sale of any security
State Corporate Laws: State-specific laws governing corporate formation, operation, and securities transactions within the state's jurisdiction
