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 Represents Mission Clean Energy in Financing Deal

Northern California legal powerhouse Farella Braun + Martel advised utility scale renewable energy developer Mission Clean Energy, LLC in connection with private equity firm Wafra Inc.’s acquisition of a controlling interest in Mission Clean...

Read More
Publication

Regulatory and Litigation Risks From California’s New Recycling Laws

California is a leader on plastics reduction, passing legislation regulating recyclability and sustainability claims, promoting the use of recycled materials, and preventing plastics pollution. In particular, two new laws require manufacturers to carefully evaluate...

Read More
News

Kelly Matayoshi Receives 2022 Barristers Diversity Award

Read More
Publication

Nonprofit Basics: Supporting Organizations Part 2 - Orientation for Understanding Type III Supporting Organizations

Welcome to EO Radio Show – Your Nonprofit Legal Resource .  Episode 24 is the second of two parts that discuss supporting organizations as a special type of public charity. All supporting organizations must...

Read More
Event

Plastics and Recyclability Claims

Elisabeth Dorsi is moderating the plenary session "Plastics and Recyclability Claims" at the ABA’s 2023 Environmental & Energy, Mass Torts, and Products Liability Litigation Committees’ Joint Regional CLE Program. Session Overview: This panel will discuss the...

Read More
Event

Legal Ethics in a Hybrid Work Environment

Sarah Bell is speaking at the ethics plenary session "Legal Ethics in a Hybrid Work Environment" at the ABA's 2023 Environmental & Energy, Mass Torts, and Products Liability Litigation Committees’ Joint Regional CLE Program. Session Overview: Post-COVID, we now...

Read More
Publication

California Extends Presumption of COVID-19 as Workers’ Compensation Injury and Modifies Notice Requirements for Potential Exposure

In addition to AB 152 extending COVID-19 leave through December 31, 2022 , Governor Gavin Newsom has also signed into law two other COVID-related bills—AB 1751 and AB 2693—affecting employers’ policies regarding employees who...

Read More
News

Farella Braun + Martel Earns 2023 U.S. News – Best Lawyers® "Best Law Firms" Rankings

Read More
Publication

Nonprofit Basics: Supporting Organizations - Part 1

Welcome to EO Radio Show – Your Nonprofit Legal Resource . This episode is the first of two parts that discuss the definition of supporting organizations as a special type of public charity. All...

Read More
News

Farella Receives American Antitrust Institute 2022 Antitrust Enforcement Award

Northern California legal powerhouse Farella Braun + Martel is proud to announce that it has received a 2022 Antitrust Enforcement Award for “Outstanding Antitrust Litigation Achievement in Private Law Practice” from the American Antitrust...

Read More