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Alan L. Dye

Partner
Washington, D.C.

Alan L. Dye

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."

Chambers

Representative Experience

Assisted numerous public companies in submitting no-action letters to the SEC regarding shareholder proposals.

Defended hedge fund in Section 16(b) action involving transactions in derivative securities.

Education and admissions

Education

  • J.D., salutatorian, Order of the Coif, The University of Georgia, 1978
  • B.A., with high honors, Emory University, 1975

Memberships

  • 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 of Corporate Secretaries and Governance Professionals

Bar admissions and qualifications

  • District of Columbia
  • Georgia
  • New York

Court admissions

  • 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

2006-2017

Corporate Law

The Best Lawyers in America

2011-2017

Securities Regulation

The Best Lawyers in America

2009-2016

International Who's Who of Corporate Governance Lawyers

Who's Who Legal

2006-2015

Securities Regulation: Advisory

Chambers USA

2008-2016

Securities & Corporate Finance

Washington, D.C. Super Lawyers

2009-2013

Top Lawyer

Washingtonian

2007-2008

Corporate/M&A and Private Equity

Chambers USA

Latest thinking and events

Published 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)
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