People

Andre E. Owens

Partner

Owens, Andre E.
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.

Honors & Awards

Mr. Owens was recognized as a leader in the financial services regulation: broker dealer field in the 2010-2017 editions of Chambers USA: America's Leading Lawyers in Business.

Publications & News

View

January 17, 2018

SEC's Fixed Income Market Structure Advisory Committee Discusses Bond Market Liquidity in Its Inaugural Meeting

On January 11, 2018, the Securities and Exchange Commission's (SEC) Fixed Income Market Structure Advisory Committee (FIMSAC) held its inaugural meeting.

November 29, 2017

US Department of the Treasury: A Financial System That Creates Economic Opportunities—Capital Markets

In October 2017, the US Department of the Treasury (Treasury) published a report titled “A Financial System That Creates Economic Opportunities” (Treasury Report). Treasury, under the direction of Secretary Steven T. Mnuchin, prepared the Treasury Report in response to Executive Order 13772 (Executive Order). The Executive Order established a set of Core Principles consistent with which the financial markets should be regulated.

August 4, 2017

SEC Confirms Certain ICOs Are Securities Offerings; Regulators Renew Focus on Cryptocurrencies

Participants and observers in cryptocurrency markets have long expected input from the SEC on the question of whether offerings of cryptocurrencies would be subject to the federal securities laws. On July 25, the SEC issued a Report of Investigation pursuant to Section 21(a) of the Securities Exchange Act of 1934 of its investigation of an offering of digital tokens by “The DAO,” an unincorporated virtual organization. This WilmerHale Client Alert was republished in Bloomberg BNA's Securities Regulation & Law Report.

June 27, 2017

WilmerHale Represents State Street in the Sale of its BlockCross ATS to Instinet

Longstanding client State Street is represented by a team led by Stephanie Evans that includes Livingston Miller, Mark Nylen, Byron Crowe, Nils Remole, Andre Owens, Jeremy Moorehouse, Michael Bevilacqua, Bill Caporizzo, Amy Null and Benjamin Kelsey.

May 26, 2017

WilmerHale Lawyers and Practices Recognized in 2017 Edition of Chambers USA

Chambers and Partners announced its rankings for the 2017 edition of Chambers USA: America's Leading Lawyers for Business, with WilmerHale listed among the nation's best in 50 practice area categories. Chambers also ranked 86 WilmerHale lawyers as leaders in their respective fields.

November 30, 2016

Regulators Implement Enhanced Oversight and Propose Transparency for the Treasury Market

On October 24, 2016, the Federal Reserve Bank of New York held a conference on "The Evolving Structure of the US Treasury Market." This WilmerHale Client Alert was republished by The Investment Lawyer (April 2017, Vol. 24, No. 4).

June 16, 2016

WilmerHale Wins Bank of America Award for Diversity and Inclusion

WilmerHale was recognized for creating an internal culture that encourages the recruitment, retention, mentoring and promotion of diverse attorneys.

May 27, 2016

WilmerHale Lawyers and Practices Recognized in 2016 Edition of Chambers USA

Chambers USA: America's Leading Lawyers for Business announced its final rankings for the 2016 edition, with WilmerHale ranking among the nation's best in 47 practice area categories. Chambers also ranked 82 WilmerHale lawyers as leaders in their respective fields.

May 11, 2016

SEC's Equity Market Structure Advisory Committee Considers an Access Fee Pilot and Changes to the Regulation of Trading Venues

On April 26, 2016, the Equity Market Structure Advisory Committee held its fourth meeting at the Securities and Exchange Commission in Washington DC.  The Committee is considering whether various regulatory or industry initiatives would improve the function of the US equity markets.

April 14, 2016

Registration of Associated Persons with Algorithmic Trading Responsibilities

On April 7, 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority's proposal to amend NASD Rule 1032 to require registration as Securities Traders of associated persons primarily responsible for the design, development or significant modification of algorithmic trading strategies, or who are responsible for the day-to-day supervision or direction of such activities.

Professional Activities

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.

Practices

Skip Navigation Links.

Education

JD, Harvard Law School, 1988

BS, summa cum laude, Providence College, 1985

Bar Admissions

District of Columbia

Connecticut

Government Experience

Skip Navigation Links.