Uniform Commercial Code (UCC): Primary federal commercial law framework covering: Article 2 (Sale of Goods), Article 8 (Investment Securities), and Article 9 (Secured Transactions). Essential for structuring sales and investment contracts.

Securities Act of 1933: Federal law requiring registration of securities offerings and detailed disclosures to protect investors. Establishes registration requirements and anti-fraud provisions for securities sales.

Securities Exchange Act of 1934: Governs secondary market trading, establishes SEC oversight, and provides framework for securities exchange regulation and broker-dealer activities.

Investment Company Act of 1940: Regulates the organization and activities of investment companies, including mutual funds and other investment vehicles.

Investment Advisers Act of 1940: Regulates investment advisers and their activities, including registration requirements and fiduciary duties.

Dodd-Frank Act: Comprehensive financial reform legislation addressing systemic risk, consumer protection, and investment regulation following the 2008 financial crisis.

Common Law Contract Principles: Fundamental principles governing contract formation, including offer, acceptance, consideration, and capacity to contract.

Statute of Frauds: Legal requirement that certain contracts must be in writing to be enforceable, particularly relevant for sales of securities and goods over $500.

Blue Sky Laws: State-specific securities laws regulating the offering and sale of securities to protect investors from fraudulent activities.

SEC Regulations: Detailed rules and regulations implemented by the Securities and Exchange Commission governing securities transactions and investment activities.

FINRA Requirements: Rules and regulations set by the Financial Industry Regulatory Authority governing broker-dealers and securities firms.

Federal Trade Commission Act: Federal law prohibiting unfair or deceptive trade practices, providing consumer protection in commercial transactions.

Internal Revenue Code: Federal tax laws governing the tax implications of sales and investment transactions, including capital gains provisions.

Rule 10b-5: SEC anti-fraud provision prohibiting any deceit, misrepresentation, or fraud in connection with the purchase or sale of securities.