Federal Securities Laws: Primary federal regulations including Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, and Dodd-Frank Wall Street Reform and Consumer Protection Act
State Corporate Laws: State-specific regulations governing corporate entities, particularly Delaware General Corporation Law if the entity is Delaware-incorporated, including state securities laws (Blue Sky Laws) and state LLC/Partnership laws
Tax Legislation: Internal Revenue Code, state and local tax regulations, and FATCA compliance requirements affecting private equity structures and transactions
Corporate Governance Regulations: Sarbanes-Oxley Act and relevant stock exchange rules governing corporate behavior, reporting, and transparency
Employment Laws: Employee Retirement Income Security Act (ERISA) and state employment laws affecting equity compensation and employee benefits
Antitrust Regulations: Hart-Scott-Rodino Act, Clayton Act, and Sherman Act governing competition and market concentration in private equity transactions
Foreign Investment Laws: CFIUS regulations and Foreign Corrupt Practices Act (FCPA) requirements for international investments and cross-border transactions
Industry-Specific Regulations: Sector-specific regulations applicable to particular industries such as banking, healthcare, or telecommunications
SEC Reporting Requirements: Ongoing reporting obligations and disclosure requirements under Securities and Exchange Commission regulations
Fiduciary Duties: State law requirements regarding fiduciary responsibilities of directors, officers, and controlling shareholders
Shareholder Rights Provisions: Transfer restrictions, registration rights, tag-along/drag-along rights, and other shareholder protection mechanisms
Exit Mechanisms: Legal framework for various exit strategies including IPOs, mergers, acquisitions, and buy-outs
