Alan L. Dye

Alan L. Dye

Washington, D.C.

Email [email protected]​

Phone +1 202 637 5737

Fax +1 202 637 5910

Practice groupCorporate & Finance

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.

Alan Dye needs no added credibility when it comes to his SEC expertise, but his accessibility and personality make him a joy to talk to, whenever needed. He is always sensitive to the many personal and other issues that underlie most legal questions. He makes an effort to bolster the expertise of in-house lawyers. He finds solutions and does not place legal obstacles in the way of business needs.

Legal 500 US

Awards and recognitions


Securities: Regulation: Advisory (Nationwide)
Chambers USA


M&A/Corporate and Commercial: Corporate Governance, Leading Lawyer
Legal 500 US


Corporate Law
The Best Lawyers in America


Securities Regulation
The Best Lawyers in America


M&A and Governance
Who's Who Legal


International Who's Who of Corporate Governance Lawyers
Who's Who Legal


Securities & Corporate Finance
Washington, D.C. Super Lawyers


Top Lawyer


Corporate/M&A & Private Equity (District of Columbia)
Chambers USA

Education and admissions


J.D., The University of Georgia, salutatorian, Order of the Coif, 1978

B.A., Emory University, with high honors, 1975


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

Bar admissions and qualifications

District of Columbia


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

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.

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