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"Byrne, John Aidan"
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The SEC’s Order Handling Rules of 1997 and Beyond: Perspective and Outcomes of the Landmark Regulation
In 1997, enactment of the Securities and Exchange Commission's Order Handling Rules ushered in a period of profound and unprecedented change in the competitive structure of the U.S. equity markets. In this article, the authors examine the crucial forces that led to this regulation, and focus on significant developments in the years that followed. Of major importance is the assessment of one of the authors, Richard Lindsey. As the SEC's Director of Market Regulation during this tumultuous period, Lindsey was the chief intellectual force--and the architect of the Order Handling Rules that transformed markets.
Journal Article
UBS Brokerage Breaks Profit Record
UBS Wealth Management Americas (WMA) expanded its advisor force by 48 to 7,015 financial advisors in the last quarter as the brokerage unit of the Swiss banking giant posted both record pre-tax profit and invested assets.
Trade Publication Article
LONDON CALLING
Barclays is well-known the world over, but in the US, the giant London-based firm is not celebrated for its retail wealth management unit. Byrne discusses that Barclays is remaking the old Lehman Brothers and hiring aggressively to become a major player in the US high-net-worth market just as its rivals struggle to get back on their feet.
Trade Publication Article
A Journey Up a Holy Mountain in Ireland; A visitor from New Jersey finds more than spectacular views at Ireland's Croagh Patrick
(Bridie remained safely home in nearby County Roscommon.) That morning, the 2,500-foot mountain was barely visible in the mist as we approached from Westport, a town of brightly colored shops and art galleries.
Newspaper Article