Dye Alan L

In the intricate and ever-evolving world of corporate governance and securities regulation, public companies, boards of directors, and investment funds require legal counsel that is not just knowledgeable, but truly authoritative. Navigating the stringent requirements of the U.S. Securities and Exchange Commission (SEC), stock exchange listing standards, and complex shareholder relations demands an attorney with deep institutional insight and a proven track record. For businesses in Washington D.C. seeking such unparalleled expertise, Alan L. Dye, a distinguished partner at Hogan Lovells, stands as a preeminent figure. Renowned for his profound understanding of federal securities law, particularly Section 16 of the Securities Exchange Act, Mr. Dye offers invaluable guidance to entities operating within the nation's capital and across the globe. His presence in the District of Columbia provides local corporations and their leaders direct access to a national authority, ensuring robust compliance and strategic counsel in high-stakes corporate matters.

Alan L. Dye is best known for his co-authorship (with Peter Romeo) of the leading treatise on Section 16 of the Securities Exchange Act, a definitive guide for countless legal professionals and corporate secretaries. This seminal work alone solidifies his standing as a go-to lawyer for boards and general counsels seeking to navigate the often interrelated requirements of SEC rules and stock exchange listing standards. His clients benefit immensely from his vast knowledge, particularly regarding critical areas such as SEC disclosures, the structure and composition of boards and their committees, executive compensation, and the formulation of robust compliance policies. In an era where the annual meeting of shareholders has evolved into a year-long process, corporate secretaries frequently turn to Mr. Dye for expert assistance with shareholder engagement strategies, responding to complex shareholder proposals, meticulously structuring and disclosing executive compensation, and addressing the nuanced policies and recommendations issued by proxy advisory firms.

As a nationally recognized authority on stock trading issues, Alan Dye is instrumental in helping public companies with both drafting their insider trading policies and pre-clearing insider transactions in company securities, ensuring adherence to the strictest regulatory standards. Stock traders themselves often seek his advice regarding the SEC's complex stock trading rules. Furthermore, Mr. Dye assists investment funds in avoiding the perilous traps of Section 16(b) liability and skillfully defends their transactions against the often aggressive 16(b) plaintiffs' bar. He also plays a crucial role in helping major brokerage houses comply with Rule 144 and effectively administer Rule 10b5-1 trading plans. Prior to joining Hogan Lovells (formerly Hogan & Hartson), Mr. Dye spent two years at the SEC's Division of Corporation Finance and served for two years as Special Counsel to the SEC Chairman, providing him with invaluable insider perspective on regulatory enforcement and policy development. His comprehensive expertise has earned him consistent accolades, including being ranked in Band 1 nationwide for securities advisory work by Chambers USA and recognized as a leading lawyer for corporate governance by Legal 500 US.

Location and Accessibility

Alan L. Dye is based at the Washington D.C. office of Hogan Lovells, located at 555 13th St NW #800e, Washington, DC 20004, USA. This highly central and prominent address places him within the heart of D.C.'s financial and legal district, ensuring exceptional accessibility for clients across the District of Columbia. The office is situated in Columbia Square, a well-known and easily navigable building.

The location offers superb connectivity via public transportation. It is just steps away from the Metro Center station, a major hub serving the Red, Orange, Blue, and Silver lines, making it incredibly convenient for clients utilizing D.C.'s extensive subway system. Numerous bus routes also operate in the immediate vicinity. For those traveling by car, a variety of parking garages are available within close proximity. This strategic and accessible location underscores Hogan Lovells' commitment to providing convenient and professional legal services to its D.C. clientele, facilitating easy access for critical consultations and collaborative work on complex corporate and securities matters.

Services Offered

• Securities & Corporate Finance Advisory: Comprehensive counsel on a wide range of securities law issues, including SEC disclosures, reporting obligations, and compliance.
• Corporate Governance & Public Company Representation: Advising boards, committees, and general counsels on best practices for corporate governance, board structure, fiduciary duties, and compliance policies.
• Section 16 of the Exchange Act Compliance: Unrivaled expertise in Section 16 compliance, including insider trading, beneficial ownership reporting (Forms 3, 4, 5), and short-swing profit liability.
• Executive Compensation: Structuring and disclosing executive compensation arrangements in compliance with SEC rules and stock exchange listing standards.
• Shareholder Engagement & Shareholder Proposals: Assisting companies with strategies for effective shareholder engagement and responding to shareholder proposals at annual meetings.
• Insider Trading Policies: Drafting, reviewing, and advising on corporate insider trading policies and pre-clearing insider transactions in company securities.
• Rule 144 & Rule 10b5-1 Plans: Guiding major brokerage houses and individuals on compliance with Rule 144 regarding restricted and control securities, and administering Rule 10b5-1 trading plans.
• Investment Fund Compliance: Advising investment funds on avoiding Section 16(b) liability traps and defending against related claims.
• Stock Exchange Listings & Regulatory Compliance: Ensuring compliance with the listing standards and regulatory requirements of major stock exchanges.
• Public Company Mergers & Acquisitions: Providing securities law expertise in the context of public company M&A transactions.
• Shareholder Activism: Strategic advice on all matters related to shareholder activism, engagement, and related defense strategies.

Features / Highlights

• Nationally Recognized Authority on Section 16: Co-author of the leading treatise on Section 16 of the Securities Exchange Act, making him the "go-to" expert in this complex area.
• Former SEC Official: Prior experience as Special Counsel to the SEC Chairman and within the SEC's Division of Corporation Finance provides invaluable insight into regulatory thinking.
• Consistently Top-Ranked: Consistently ranked in Band 1 nationwide for securities advisory work by Chambers USA and recognized as a leading lawyer for corporate governance by Legal 500 US.
• Deep Knowledge of SEC Disclosures & Compliance: Offers vast knowledge regarding SEC disclosures, reporting obligations, and compliance policies, essential for public companies.
• Expertise in Executive Compensation: Highly skilled in structuring and disclosing executive compensation, a critical and often scrutinized area for public companies.
• Strategic Advisor to Boards: Provides crucial advice to boards and general counsels on navigating complex regulatory requirements and corporate governance best practices.
• Decades of Experience: With a career spanning many years, he brings a wealth of practical experience to his clients' most challenging legal issues.
• Trusted by Leading Companies: Represents a wide array of public companies, investment funds, and brokerage houses, reflecting his reputation and reliability.
• Author and Frequent Speaker: Actively contributes to legal scholarship and thought leadership through publications and presentations on securities law topics.

Promotions or Special Offers

As a highly distinguished and nationally recognized attorney at a leading global law firm, Alan L. Dye, similar to other senior partners at Hogan Lovells, does not typically offer generalized consumer-style promotions or discounts. His legal services are highly specialized and tailored to the sophisticated needs of public companies, their boards, executives, and investment funds navigating complex securities and corporate governance regulations.

The value proposition offered by Mr. Dye and Hogan Lovells lies in their unparalleled expertise, deep institutional knowledge, and a proven track record in guiding high-stakes corporate matters. Clients engage him for his authoritative advice on SEC compliance, Section 16 matters, corporate governance best practices, and strategic responses to shareholder activism. The investment in such specialized legal counsel is a critical strategic decision for companies aiming to ensure regulatory adherence, mitigate significant legal risks, and maintain strong corporate standing. Rather than promotional offers, prospective clients in the District of Columbia should anticipate a professional consultation designed to comprehensively assess their specific legal needs and demonstrate how Mr. Dye’s unique capabilities can provide substantial long-term value to their corporate operations and compliance efforts.

Contact Information

For public companies, corporate boards, executives, or investment funds in the District of Columbia seeking preeminent legal counsel in securities law, corporate governance, and Section 16 compliance, Alan L. Dye at Hogan Lovells is available.

Address: 555 13th St NW #800e, Washington, DC 20004, USA

Phone: (202) 637-5737

Mobile Phone: +1 202-637-5737

Connecting with his Washington D.C. office will allow you to discuss your specific corporate governance and securities law needs and discover how his unparalleled expertise can safeguard and strategically guide your organization.

Conclusion: Why this place is suitable for locals

For the numerous public companies, financial institutions, and corporate entities based in the District of Columbia, Alan L. Dye at Hogan Lovells represents an exceptionally suitable and indispensable legal resource. D.C. is not only the seat of federal government but also a crucial hub for corporate and financial regulation, making adherence to securities law and robust corporate governance paramount for local businesses.

Mr. Dye's national reputation as a leading authority on federal securities law, particularly his deep expertise in Section 16 of the Exchange Act, directly addresses the most critical and complex compliance challenges faced by D.C.-based public companies. Whether it’s navigating intricate SEC disclosure requirements, ensuring executive compensation plans meet regulatory scrutiny, developing robust insider trading policies, or strategically engaging with shareholder proposals, Mr. Dye offers the precise guidance needed in this highly regulated environment. His prior experience at the SEC provides a unique insider's perspective, allowing him to anticipate regulatory trends and provide proactive solutions that are invaluable to local corporate clients.

His presence at the centrally located Washington D.C. office of Hogan Lovells ensures that local companies have convenient and direct access to an attorney whose knowledge is foundational to corporate compliance and governance. For any D.C. organization operating in the public sphere, partnering with Alan L. Dye means securing legal counsel that is not only at the absolute pinnacle of securities law expertise but also deeply integrated into the regulatory fabric of the nation's capital. This makes him an ideal choice for ensuring the legal soundness and strategic integrity of corporate operations in the District of Columbia.