Alan L. Dye
Partner Corporate & Finance
-
Overview
-
Experience
-
Credentials
-
Insights and events
Client quoted in Chambers USA'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.'
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.
Chambers USA 2023Alan Dye is the go-to authority on Section 16 reporting, while also advising leading corporations and boards on wide-ranging securities compliance and disclosure matters.
Representative experience
Numerous public companies in submitting no-action letters to the SEC regarding shareholder proposals.
A hedge fund in Section 16(b) action involving transactions in derivative securities.
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