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Our lawyers have extensive experience providing practical and timely advice regarding the many obligations and issues facing publicly traded companies. This part of our practice encompasses all aspects of the Securities Act of 1933 and the Securities Exchange Act of 1934, including

  • Preparing and filing of proxy statements for annual and special meetings of shareholders
  • Preparing and filing of SEC periodic reports, including Forms 10-K, 10-Q and 8-K
  • Complying with the listing requirements of national exchanges, including the NYSE and NASDAQ
  • Complying with the Sarbanes-Oxley Act and related regulations
  • Complying with Section 16 of the Securities Exchange Act of 1934
  • Establishing insider trading policies
  • Responding to insider trading investigations
  • Managing press release disclosure and analyst relations
  • Setting executive compensation

We also serve as issuer's counsel and special counsel in initial and secondary public offerings of common stock, preferred stock, debt securities, and derivative and hybrid financial products. Our clients include issuers, underwriters, investors, broker-dealers, investment advisers, mutual funds, commodities firms, insurance companies and securities exchanges. Our services span a broad range of legal matters, such as

  • Private placements and resales of restricted securities
  • Listings on stock exchanges
  • American Depository Receipt (ADR) transactions
  • Proxy and consent solicitations
  • Tender and exchange offers

We regularly work with regulators such as the SEC, NYSE, NASDAQ, Commodity Futures Trading Commission and the National Association of Securities Dealers.

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GSB is ranked Tier 1 for Securities/Capital Markets Law in Seattle, Washington.

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