Securities Act of 1933: Primary federal legislation governing the initial offering of securities, requiring registration and comprehensive disclosure unless an exemption applies

Securities Exchange Act of 1934: Federal law regulating secondary trading of securities and establishing the SEC, including ongoing reporting requirements

Regulation D: SEC rules providing exemptions from federal registration requirements for private placement offerings

Rule 144: SEC rule governing the resale of restricted securities and control securities

State Blue Sky Laws: State-specific securities laws governing registration, exemptions, and disclosure requirements for securities offerings within each state

UCC Article 3: Uniform Commercial Code provisions governing negotiable instruments, including promissory notes

UCC Article 8: Uniform Commercial Code provisions governing investment securities and their transfer

UCC Article 9: Uniform Commercial Code provisions governing secured transactions and security interests in personal property

Internal Revenue Code: Federal tax laws affecting the treatment of equity-linked securities and conversion features

State Corporation Laws: State-specific laws governing corporate formation, operation, and securities issuance

Federal Reserve Regulation U: Regulations governing margin requirements and credit extended for securities purchases

Dodd-Frank Act: Comprehensive financial reform legislation affecting securities markets and investor protection

SEC Reporting Requirements: Ongoing disclosure obligations for companies issuing securities, including periodic reports and material event notifications

Accredited Investor Rules: SEC regulations defining qualified investors who may participate in certain private securities offerings

Integration Rules: SEC guidelines determining when multiple securities offerings should be treated as a single offering