Alan Dye on the Latest Section 16 Developments

Q&A and Practice Tips from the Expert

Wednesday, January 27, 2016

4:00 – 5:30 pm, eastern time [archive and transcript to follow]

Questions Submitted in Advance

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Since the SEC's major Section 16 enforcement initiative in late 2014, involving 28 insiders and civil penalties totaling $2.6 million, Section 16 filings have been in the spotlight like never before, commencing a new era of enforcement for the SEC. Tune in to Alan Dye's annual Q&A webcast to make sure you are equipped to comply. Hear practical tips on refining your Section 16 procedures and answers to your questions on the challenges you are facing today (submit your questions to To get the latest from the expert, join:

  • Alan Dye, Editor of and Partner of Hogan Lovells

Among many other topics, Alan will cover:

  • What recent SEC enforcement initiatives mean for your own compliance program
  • What are the latest issues—and what you can do to resolve them
  • Considerations to keep in mind for Form 5 reporting and Item 405 disclosures
  • How to keep your compliance program up to date
  • Answers to any questions that you pose to Alan in advance of the program—submit questions to

Submit your questions to

Continuing Education: This program qualifies for continuing education for Certified Equity Professionals (CEPs). Please keep a record of your attendance and refer to the CEP Institute standards to determine the amount of credit you can receive.

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