FacultyFaculty/Author Profile
Andre E. Owens

Andre E. Owens

Wilmer Cutler Pickering Hale and Dorr LLP

Washington, DC, USA


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; 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 market regulation and investment adviser issues, as well as on a variety of administrative law issues.

Honors & Awards

Mr. Owens has been recognized as a leader in the financial services regulation: broker dealer field in the 2010-2018 editions of Chambers USA: America's Leading Lawyers in Business.

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.

Education

JD, Harvard Law School, 1988
BS, summa cum laude, Providence College, 1985

Andre E. Owens is associated with the following items:
Web Segment  Web Segment Thorny Hedge Fund Hypotheticals - Ethical Issues - Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Tuesday, December 05, 2017
Thorny Hedge Fund Hypotheticals - Ethical Issues - Hedge and Private Fund Enforcement & Regulatory Developments 2018, Monday, October 15, 2018
Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Broker/Dealer Regulation and Enforcement 2018, Wednesday, October 17, 2018
MP3 Audio  MP3 Audio Thorny Hedge Fund Hypotheticals - Ethical Issues - Thorny Hedge Fund Hypotheticals - Ethical Issues, Tuesday, December 05, 2017
Thorny Hedge Fund Hypotheticals - Ethical Issues - Thorny Hedge Fund Hypotheticals - Ethical Issues, Monday, October 15, 2018
Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update, Wednesday, October 17, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Thorny Hedge Fund Hypotheticals - Ethical Issues - Thorny Hedge Fund Hypotheticals - Ethical Issues, Tuesday, December 05, 2017
Thorny Hedge Fund Hypotheticals - Ethical Issues - Thorny Hedge Fund Hypotheticals - Ethical Issues, Monday, October 15, 2018
Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update, Wednesday, October 17, 2018
On-Demand Web Programs  On-Demand Web Programs Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Thursday, December 07, 2017, New York, NY
Hedge and Private Fund Enforcement & Regulatory Developments 2018, Tuesday, October 16, 2018, New York, NY
Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 23, 2018, New York, NY
Treatise Chapters  Treatise Chapters Electronic Trading - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
Transcripts  Transcripts Thorny Hedge Fund Hypotheticals - Ethical Issues - Thorny Hedge Fund Hypotheticals - Ethical Issues, Monday, October 15, 2018
Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update, Wednesday, October 17, 2018
CHB Chapters  CHB Chapters Examinations and Rulemaking Developments: 2018 Broker/Dealer Regulatory Update - Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018
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