Alan L. Dye
Partner
Washington, D.C.
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 has been included in Best Lawyers America since 2006 and Who's Who Legal of International Corporate Governance Lawyers since 2009.
"He's the dean of the Section 16 Bar. He's one of the shortlist that sophisticated clients would go to for that work and he's a pleasure to deal with."
"He's the dean of the Section 16 Bar. He's one of the shortlist that sophisticated clients would go to for that work and he's a pleasure to deal with."
Representative Experience
Latest thinking and events
Hogan Lovells Publications
SEC Staff Issues Important New Guidance on Use of Non-GAAP Financial Measures
SEC UpdateHogan Lovells Publications
2016 Proxy Season: SEC Staff Issues Important Guidance on Key Shareholder Proposal Exclusions
SEC UpdateHogan Lovells Publications
SEC Adopts Final Rule to Implement Dodd-Frank CEO Pay Ratio Disclosure Requirement
SEC UpdateHogan Lovells Publications
SEC Proposes Rules on Disclosure of Pay for Performance in Executive Compensation
SEC UpdateHogan Lovells Publications
SEC Announces Enforcement Initiative Directed at Insider Reporting Violations
SEC UpdatePublished Works
Mandatory Disclosure of Corporate Political Spending: Prospects for New SEC Disclosure Requirements in an Atmosphere of Disclosure Reform
42 No. 3 SEC R. L.J. Art. 1 (Fall 2014)View More
