Evans, Shawn M.

Andre E. Owens is a partner in the firm’s Securities Department, a member of the Broker-Dealer Compliance and Regulation and Derivatives and Futures Practice Groups and a former member of the Executive Committee. He joined the firm in 2003. Mr. Owens has a practice that focuses on market regulation and investment adviser activities.

Practice

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.

After leaving the SEC in 1997, Mr. Owens returned to private practice. He currently counsels broker-dealer and other clients on a variety of market regulatory issues such as compliance with SEC, FINRA and NYSE rules; Regulation M and Regulation NMS; short sale and other trading rules; sales practice and order handling matters; and Regulation ATS and electronic brokerage issues. Mr. Owens also provides advice with respect to acquisitions of securities broker-dealers and investment advisers.

Honors

Mr. Owens was recognized as a leader in the financial services regulation: broker dealer field in the 2010 and 2011 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.