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SEC Exam Official Warns B-Ds To Not Get Complacent

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Broker-dealers shouldn't get lax with regulations just because of a reduction in B-D examiners, the official said.

Kids Cause Financial Chaos For Affluent Families, Too

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The mere presence of dependent children depresses affluent families' financial confidence, a new study says.

Wall Street Is Starting To Talk About A Big Democratic Sweep

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Goldman Sachs analysts say conversations with clients are starting to focus on the odds of a Democratic sweep.

Advisors Spend Less Time On Investments, Study Says

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Advisors have shifted their priorities to client meetings and plan preparation.

One Man's Crusade To Tame Fastest Predators In Treasuries

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Critics blame ‘phantom liquidity’ for a drop in trading volumes.

Tilton Drops Lawsuit Claiming SEC Hearings Unconstitutional

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New SEC rules improving the process were timed to ensure they wouldn’t apply to her's and other cases.

Morgan Stanley Brokers Use Treaty To Flee With Clients

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The defectors were able to take clients with them thanks to an industry agreement signed in 2004.

FintekNews Deal of the Day - Returnly Raises $3.25M

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Larkspur, CA-based Returnly is an interesting new fintech. They offer immediate return credits to store customers who have purchased an item online and wish to return it. Wh...

InfoGraphic on Bitcoin & Blockchain Investments from FIs

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Note from the Publisher: One of our favorite OTHER newsletters is CB Insights, and almost every day that I receive it, I laugh out loud at something they have in there. Toda...

New Canadian Fintech VC

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Note from the Publisher: Friends, if you've been with us for a while, you know the drill here. We remain committed to focusing on American fintech at large, ina way no othe...

Fintech for the New Advisor

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Note from the CEO:This is a very good read since it is based on real experience of starting a new advisory firm

Medical Privacy & Bitcoin

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Note from the CEO:We are always very excited to see new ways that bitcoin (or digital currencies in general) can be used for payment

Battle of the Blockchains

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Note from the CEO:Well here we go again

FintekNews-KFTX Fintech Index-10/17 Daily Closing Analysis

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By Bill Taylor-CEO, Fintegration/FintekNews & CIO, TLC Capital Group10/17/16 Daily Closing Analysis - NASDAQ Fintech Index (KFTX) ------------------------------- Sinkhole deepens for fintech

Hire Your Next Employee With FintekNews + Some Great Hiring Tips

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Welcome to FintekNews' weekly series devoted to helping you find the best talent for your team

FintekNews Crowdfund Deal of the Day - A Texas Speakeasy!

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We're noticing a trend as we start to feature not only VC deals in fintech, but also crowdfunding deals UTILIZING fintech, and one we see a fair bit is crowdfunding around alcohol-related...

FintekNews-KFTX Fintech Index-10/14 Daily & Week End Closing Analysis

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By Bill Taylor-CEO, Fintegration/FintekNews & CIO, TLC Capital Group10/14/16 Daily Closing Analysis & Week End Review- NASDAQ Fintech Index (KFTX) ---------------------------...

Miami To Pay $1 Million To Settle SEC Municipal Bond Fraud Case

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A federal jury ruled that the municipality defrauded bond investors by hiding the deteriorating condition of its finances.

The Home Stretch

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The fourth quarter still has to work through significant issues besides the election.