Alan L. Dye
Partner Corporate & Finance
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Overview
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Experience
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Credentials
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Insights and events
Legal 500 US 2023As well as regularly advising on SEC compliance, Alan Dye is a leading authority on the federal securities law, including Section 16 of the Securities Exchange Act of 1934.
Public companies have sought Alan Dye's advice on complex securities law issues since he left the SEC in 1986. Best known for his co-authorship (with Peter Romeo) of the leading treatise on Section 16 of the Securities Exchange Act, Alan is a go-to lawyer for boards and general counsels seeking to navigate the often inter-related requirements of SEC rules and stock exchange listing standards.
His clients benefit from his vast knowledge, particularly regarding SEC disclosures, board and committee structure and composition, executive compensation, and compliance policies. As the annual meeting of shareholders becomes a year-long process, corporate secretaries turn to Alan for help with shareholder engagement, responding to shareholder proposals, structuring and disclosing executive compensation, and addressing the policies and recommendations of proxy advisory firms.
As a nationally recognized authority on stock trading issues, Alan helps public companies with both drafting their insider trading policies and pre-clearing insider transactions in company securities. Stock traders, too, turn to Alan for advice regarding the SEC's complex stock trading rules. Alan helps investment funds avoid Section 16(b) liability traps and defend their transactions against the 16(b) plaintiffs' bar, and helps major brokerage houses comply with Rule 144 and administer Rule 10b5-1 trading plans.
Alan is ranked in Band 1 nationwide for securities advisory work by Chambers USA and as a leading lawyer for corporate governance by Legal 500 US. He has been included in Best Lawyers America since 2006 and Who's Who Legal of International Corporate Governance Lawyers since 2009.
Client quoted in Legal 500 US 2023'Alan Dye has provided outstanding advice on all matters related to shareholder activism, engagement and related strategy. He has world-class credibility within the entire legal community as well as with the Securities and Exchange Commission – placing him in an exceptional position to advise issuers on related matters.'
Representative experience
Credentials
- J.D., The University of Georgia, salutatorian, Order of the Coif, 1978
- B.A., Emory University, with high honors, 1975
- District of Columbia
- Georgia
- New York
- Georgia Court of Appeals
- Supreme Court of Georgia
- U.S. Court of Appeals, Eleventh Circuit
- U.S. Court of Appeals, Fifth Circuit
- U.S. District Court, Middle District of Georgia
- Former Chairman, Securities, Commodities and Exchange Committee, Administrative Law and Regulatory Practice Section, American Bar Association
- Member, Advisory Board, National Association of Stock Plan Professionals
- Member, Advisory Board, Securities Regulation Law Journal
- Member, American Bar Association
- Member, Securities Law Committee of Society for Corporate Governance
- Member, Board of Trustees, SEC Historical Society, 2018