Business Transactions

Securities

Farella Braun + Martel’s Securities Group represents public and private companies, board committees, and individuals serving as directors and officers on a full range of corporate and securities matters.  Our practice focuses primarily on emerging growth and middle-market companies.

Strategic Transactions

We assist our clients with evaluating, structuring and completing strategic transactions that a business may encounter at various stages of its development, including:

  • Private equity investments, including seed or venture capital financing
  • Public offerings
  • Follow-on offerings
  • Mergers and acquisitions
  • Credit facilities and debt instruments
  • Recapitalizations
  • Reorganizations

Public Company Compliance

We also advise companies, board committees and individual directors and officers on complying with reporting, disclosure and corporate governance obligations under SEC, Nasdaq and stock exchange regulations and listing requirements, such as:

  • Corporate governance including Sarbanes-Oxley reforms
  • Proxy statements and contested elections
  • Current and periodic reports under the Securities Exchange Act of 1934
  • 10-Ks and 10-Qs
  • Executive compensation and benefits
  • General corporate matters 

Industries and Regions Served

Farella Braun + Martel serves companies both domestically and abroad and has worked effectively in a number of industries. In addition to representing clients located in San Francisco, Silicon Valley and Northern California, we work with companies located throughout the United States and overseas in:

  • Canada
  • United Kingdom
  • Australia
  • Japan
  • Hong Kong


And we have experience working with companies in numerous industries, including:

  • Information technology services
  • Packaged software
  • Systems design
  • Wine and food products
  • Professional services
  • Consumer and retail goods
  • Private equity
  • Financial services
  • Real estate management and development

Firm Highlights

News

Farella Announces 2024 Leadership Council on Legal Diversity Pathfinders: Taylor Rottjakob and John Ugai

Farella Braun + Martel is proud to announce that senior associates  Taylor E. Rottjakob and John M. Ugai have been named 2024 Leadership Council on Legal Diversity (LCLD) Pathfinders. Pathfinders have been identified as...

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News

North Coast Industry Insiders Weigh In on Why California Cannabis Tax Revenue Slipped in 2023

Jeff Hamilton spoke to Susan Wood with the North Bay Business Journal for the article "North Coast Industry Insiders Weigh In on Why California Cannabis Tax Revenue Slipped in 2023." Read the article with Jeff's...

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News

JPMorgan Chase Accuses TransUnion of Stealing 'Trade Secrets'

Intellectual property practice chair Eugene Mar provided expert commentary to American Banker for the article "JPMorgan Chase Accuses TransUnion of Stealing 'Trade Secrets'." In the article, he said: "By filing this as a trade...

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News

Farella Braun + Martel Earns San Francisco Green Business Recertification

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Publication

Corporate Transparency Act: State of the Law and Beneficial Ownership Reporting Requirements

Key Points: Despite ongoing legal challenges, the Corporate Transparency Act (CTA) generally remains in effect and enforceable. Clients should continue to abide by its regulations. Initial reports for entities formed in 2024 are due within...

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Publication

Employment Law Update for Nonprofits With Holly Sutton

Welcome to  EO Radio Show - Your Nonprofit Legal Resource . Charities, foundations, and their founders often request help addressing employment practices and compliance questions. In this episode, host Cynthia Rowland is joined by Holly...

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Publication

Corporate Transparency Act: A Guide on Beneficial Ownership for Nonprofit Executives

The Corporate Transparency Act, enacted as part of the National Defense Authorization Act for Fiscal Year 2021, represents a significant shift in regulatory requirements for entities across the United States. This act, set to...

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Publication

Insurance Market Crushes Wineries and Wine Country Homeowners

We keep hearing about how difficult it is for winery and vineyard owners to get property insurance these days, both for their homes and their wine businesses in California’s wildfire-prone areas. Those who have...

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Publication

Nonprofit Quick Tip: State Filings in North Carolina and South Carolina

Welcome to  EO Radio Show - Your Nonprofit Legal Resource . Episode 75 is the tenth in a series of Quick Tip episodes focusing on the details of state registration of nonprofit corporations. With...

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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).

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