Hogan Lovells US LLP

Corporate

Partner

Public companies have sought Alan Dye's advice on complex securities law issues since he left the U.S. Securities and Exchange Commission (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.

English

Former Chairman, Securities, Commodities and Exchange Committee, Administrative Law and Regulatory Practice Section, American Bar AssociationMember, Advisory Board, National Association of Stock Plan ProfessionalsMember, Advisory Board, Securities Regulation Law JournalMember, American Bar AssociationMember, Securities Law Committee of Society for Corporate GovernanceMember, Board of Trustees, SEC Historical Society, 2018

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