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

Event

How hiQ Labs v. LinkedIn and Cases Following It Have Changed U.S. Law on Scraping

Alex Reese is a speaker at OxyCon's 2022 web scraping conference for the session "How hiQ Labs v. LinkedIn and Cases Following It Have Changed U.S. Law on Scraping." To register for the conference, please click...

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News

Vault Ranks Farella Among the 2023 Best Midsize Law Firms to Work For in U.S.

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News

Farella’s Doug Dexter Elected Chair of the ABA’s Labor and Employment Law Section

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Publication

Nonprofit Basics: Setting up a New Charity for Disaster Relief

Welcome to EO Radio Show – Your Nonprofit Legal Resource . This episode provides a checklist of considerations when organizing a new charity to provide relief in the aftermath of a disaster, such as...

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Publication

Nonprofit Basics: Charitable Support for Individuals Affected by a Disaster

Welcome to EO Radio Show – Your Nonprofit Legal Resource . This Nonprofit Basics episode addresses some common charitable questions that come up in the immediate aftermath of disasters: earthquakes, hurricanes, wildfires, pandemics, terrorist...

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Event

2022 Wildlife & Permitting Symposium

David Lazerwitz will present at the Burns & McDonnell "2022 Wildlife & Permitting Symposium."

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Publication

Nonprofit Basics: Amending Nonprofit Corporation Bylaws

Welcome to EO Radio Show – Your Nonprofit Legal Resource . This episode covers legal aspects of amending the bylaws for a nonprofit corporation to change its governance, to update the bylaws for changes...

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Publication

Using Multi-Factor Authentication as a Prerequisite to Cyber Liability Coverage

Multi-factor authentication (MFA) is more than an annoying popup or text message when logging onto a company’s website or platform. Not only is using MFA a sound security practice and good business, it is frequently...

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News

Facing 'Changing of the Guard,' Midsize Law Is Readying the Next Generation of Talent

Brian Donnelly spoke to The Recorder for the article, "Facing 'Changing of the Guard,' Midsize Law Is Readying the Next Generation of Talent."  Leaders at Keker, Van Nest & Peters and Farella Braun...

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News

Farella Represents Miller Family on Sale of The Silverado Vineyards

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