Andre E. Owens
Wilmer Cutler Pickering Hale and Dorr LLP
Articles
SEC Holiday Reading List: Four Rule Proposals That Would Overhaul Market Structure and How Retail Orders Are Executed
USA - December 16 2022 On December 14, 2022, the Securities and Exchange Commission released four sweeping rulemaking proposals that would change market structure as we…
Elizabeth Mitchell, Bruce H. Newman, Stephanie Nicolas, Jessica Notebaert, Susan Schroeder, Kyle P. Swan
SEC proposes new rules defining “dealer” status: Proposal seeks to clarify when unregistered firms engaged in market-making and liquidity-providing activities may need to register as dealers
USA - April 6 2022 On March 28, 2022, the Securities and Exchange Commission (SEC) proposed new Rules 3a5-4 and 3a44-2 under the Securities Exchange Act of 1934…
Bruce H. Newman, Stephanie Nicolas, Tiffany J. Smith, Kyle P. Swan
SEC proposes significant new regulatory obligations for communication protocol systems and government securities ATSs
USA - February 7 2022 The Securities and Exchange Commission (SEC) proposed significant changes to the regulation of securities trading systems that use non-firm trading…
Aaron Friedman, Twane Harris, Bruce H. Newman, Tiffany J. Smith, Cherie Weldon
Split SEC Settles Touting Charges With ICO “Listing” Website
USA - July 28 2021 On July 14, 2021, the US Securities and Exchange Commission (SEC or Commission) announced settled charges against Blotics, Ltd., f/d/b/a Coinschedule…
SEC Proposes Amendments to Reg ATS for Government Securities ATSs
USA - December 17 2020 The Securities and Exchange Commission (SEC) proposed to amend Regulation ATS under the Securities Exchange Act of 1934 for alternative trading…
