Andre Owens

Andre Owens’ practice focuses on securities trading and markets activities. He counsels broker-dealers, securities exchanges, investment advisers and other clients on a variety of regulatory issues under the rules of the SEC, FINRA and various securities exchanges, including Regulation NMS; Regulation ATS; short sale regulation; sales practice rules, automated trading and risk controls and order handling matters. Mr. Owens also provides advice with respect to acquisitions of securities broker-dealers and investment advisers.

Mr. Owens served as a member of the Counseling and Regulatory Policy Group of the SEC’s Office of General Counsel from 1992 to 1994, where he provided advice and recommendations on various proposals presented for Commission action, including proposed rulemaking actions, exemptive applications and enforcement matters. From 1994 to 1997, he served as Counsel to SEC Commissioner Steven M.H. Wallman and advised Commissioner Wallman on policy issues in the areas of market regulation and investment adviser activities, as well as on a variety of administrative law issues.

Mr. Owens is a member of the Business Law Section of the American Bar Association, the Securities Industry Financial Markets Association's Legal and Compliance Division and the National Association of Securities Professionals. He also taught a course entitled "The Regulation of Securities Professionals and the Securities Markets” at Georgetown University Law Center.

Recent regulatory developments provide some clarifications regarding the market access rule for broker-dealers - Journal of Investment Compliance

Government Experience

Securities and Exchange Commission

Office of the Chairman and Commissioners

Counsel to the Commissioner

Securities and Exchange Commission

Office of the General Counsel

Senior Counsel