Securities Act of 1933: Primary federal law governing the initial registration and offering of securities, including requirements for stock transfers and disclosure obligations.
Securities Exchange Act of 1934: Federal law regulating secondary market trading of securities, including transfer requirements and reporting obligations.
Sarbanes-Oxley Act 2002: Federal law establishing enhanced standards for public companies, affecting documentation and internal controls for stock transfers.
UCC Article 8: Uniform Commercial Code provisions governing investment securities, including rules for transfer and ownership of securities.
State Blue Sky Laws: State-specific securities regulations that may affect stock transfer requirements and documentation.
Internal Revenue Code: Federal tax laws governing the tax implications and reporting requirements for stock transfers.
Corporate Bylaws Compliance: Company-specific rules and restrictions regarding stock transfers as outlined in corporate governance documents.
Stock Exchange Requirements: Specific rules and regulations from exchanges like NYSE or NASDAQ that govern stock transfers for listed companies.
Bank Secrecy Act: Federal law requiring financial institutions to assist government agencies in detecting and preventing money laundering in securities transactions.
USA PATRIOT Act: Federal law expanding anti-money laundering requirements and affecting documentation needed for stock transfers.
SEC Form 144: Required documentation for the transfer of restricted securities, including notice of proposed sale.
