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

Publication

Navigating California's Evolving Legal Landscape Governing Leaves of Absence

California’s employment laws are no stranger to change, and recent years have witnessed the introduction or modification of various protected leaves by employees. In this article, we will delve into three significant leave categories...

Read More
Publication

Navigating California's Workplace Violence Prevention Law

California has introduced a new requirement compelling most employers to implement a workplace violence prevention policy by July 1, 2024. The implications of this law are significant, prompting the need for human resource executives...

Read More
News

Brookfield Forecloses on 2,150-Unit Veritas Portfolio With Uncontested $464M Bid

Restructuring, insolvency, and creditors rights partner Gary Kaplan provided expert commentary in The Real Deal  article, "Brookfield forecloses on 2,150-unit Veritas portfolio with uncontested $464M bid." Read the full article  here  (subscription may be...

Read More
Publication

Important Changes and the Impact of California Industry-Specific Minimum Wage Laws

In the ever-evolving landscape of California labor laws, the minimum wage has once again taken center stage. With the recent state-wide increase to $16 per hour, the Golden State continues to lead the nation...

Read More
News

Scraping Battles: Meta Loses Legal Effort to Halt Harvesting of Personal Profiles

Alex Reese spoke to Matt Fleischer-Black of  Cybersecurity Law Report about the Meta v. Bright Data decision and its impact on U.S. scraping case law. Read the article here (paywall or trial).

Read More
Publication

Navigating California's New Rebuttable Presumption Law

The ever-evolving landscape of employment laws in California has introduced a notable change with the implementation of a new law that establishes a rebuttable presumption of retaliation in some circumstances. This law, which took...

Read More
News

Winston Liaw Named a Leadership Council on Legal Diversity Fellow

Northern California legal powerhouse Farella Braun + Martel is proud to announce that Winston Liaw has been named a Leadership Council on Legal Diversity (LCLD) Fellow for 2024. Winston joins a select group of...

Read More
News

Farella 2024 Partner Elevations: Cynthia Castillo and Greg LeSaint

Northern California legal powerhouse Farella Braun + Martel is pleased to announce the election of two lawyers to partnership effective Jan. 1: Cynthia Castillo and Greg LeSaint. “We are thrilled to elevate Cynthia and...

Read More
News

Lawdragon Names 7 Farella Lawyers Among “Leaders in Environmental Law”

Northern California legal powerhouse Farella Braun + Martel is pleased to announce that seven lawyers were selected to The Lawdragon Green 500: 2024 Leaders in Environmental Law . Farella lawyers selected for inclusion: Sarah...

Read More
Publication

Navigating Cannabis in the Workplace: A Guide for California Corporations

The landscape surrounding cannabis in the workplace is rapidly evolving, posing challenges for California corporations and businesses to establish effective policies and procedures. As the use of cannabis, both medical and recreational, becomes more...

Read More