The Securities Group advises clients, including corporate boards and management teams, on corporate governance policies and procedures, as well as compliance with public company reporting obligations under federal and state securities regulations.

Corporate Governance

We regularly assist our clients in developing and implementing policies and compliance procedures to satisfy the Sarbanes-Oxley Act and Nasdaq and stock exchange listing requirements. Our experience extends to board governance charters, policies and best practices for audit committees, nominating committees and compensation committees, codes of conduct, whistle-blower policies and procedures

We perform Sarbanes-Oxley compliance audits to assist our clients with their initial and ongoing Sarbanes compliance efforts. Our attorneys are particularly experienced in representing board committees in carrying out their fiduciary duties under circumstances where their interests are not necessarily aligned with those of management and company counsel.

Federal Securities Compliance

We have extensive experience counseling public companies on their reporting and disclosure obligations under federal securities laws, including Regulation FD, Section 16 reporting requirements relating to insider trading, preparation of periodic reports such as 10-Ks and 10-Qs under the Securities Exchange Act of 1934, and satisfaction of the requirements of Rule 144 relating to the disposition of restricted securities.

Firm Highlights

News

Farella’s Raymond Sheen Elected Fellow of American College of Coverage Counsel

Read More
Event

LSI’s 13th Annual Santa Fe Conference on Litigating Natural Resource Damages

Don Sobelman will be speaking at LSI’s 13th Annual Santa Fe Conference on Litigating Natural Resource Damages live webinar, "Common Law Claims for Natural Resource Damages." Details: Marching into the void resulting from lack...

Read More
Event

LSI's PFAS Contamination and Regulation in California Virtual Conference

Sarah Bell will be speaking at LSI's virtual conference on PFAS Contamination and Regulation in California live webinar, "PFAS and Hazardous Materials Cleanup Laws." Details: CWA violations, CERCLA designations, and NRD claims as potential game...

Read More
Publication

Treasury Grants Relief to Opportunity Zone Investors in Light of Coronavirus Pandemic

The Tax Cuts and Jobs Act created opportunity zones as an economic development tool to stimulate investments in distressed communities. This tool extends tax advantages to investors in qualified opportunity funds, provided compliance with...

Read More
Publication

How Grape Growers Can Protect Their Interests When a Winery Approaches Insolvency

A lot goes into the making of great wine, and when a winery becomes financially unstable, there are multiple competing interests that need to be satisfied, including the banks that provide the winery with...

Read More
Publication

Coronavirus (COVID-19) Insights and Resources

The spread of the coronavirus (COVID-19) is causing disruption throughout the US that we have not seen in generations. Governmental entities, academia, and the private sector are working diligently to contain COVID-19 while it...

Read More
Event

7th Annual Partner Compensation One-Day Workshop

Brian Donnelly is presenting the case study session, "Managing Partner Performance" at Fairfax Associates' 7th Annual Partner Compensation One-Day Workshop. Click here for more information.

Read More
Publication

Breaking up the Patent Monopoly for the Benefit of Batteries

The patent monopoly is at odds with the global need for battery storage technology. As the world mobilizes towards climate change solutions, companies with battery patents will face increasing pressure to share this critical...

Read More
News

City of Morgan Hill Defeats NRA Challenge, Secures Victory for Local Gun Safety Law

SAN FRANCISCO, August 4, 2020: Farella Braun + Martel, as co-counsel with Giffords Law Center to Prevent Gun Violence, successfully defended the City of Morgan Hill in a lawsuit challenging its local ordinance requiring...

Read More
News

Ninth Circuit Grants Re-Trial for Death Row Inmate

Court rules prosecutor engaged in unconstitutional racial discrimination during jury selection. Farella Braun + Martel’s Pro Bono Program has won another significant victory for Marvin Pete Walker Jr., one of the longest-serving inmates on...

Read More