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Robinhood revealed several new inquiries from state and federal watchdogs as it pushes ahead to sell shares in one of the year’s most anticipated IPOs.

Congress introduced bipartisan legislation aimed at changing the estimated tax payment deadlines to a uniform, quarterly schedule.

The two announcements hours apart came after at least 33 firms with $1 billion or more in client assets changed hands in the first quarter.

The SEC alleged the company did not disclose its conflicts of interests related to mutual fund share classes, cash sweep arrangements, and no-transaction fee revenues, according to a recent SEC filing.

The free trading app’s breakneck growth hurt the same small-time investors it sought to empower, FINRA says.

During his tenure as New Jersey’s top lawyer, the state proposed tougher rules for investment advisors and joined other states in suing financial firms.

U.S. retail customers who said their primary bank met their needs for guidance gave it much higher grades, according to J.D. Power’s annual survey.

The Advisor Group IBD missed 55 alerts suggesting suspicious disbursements by clients of Hector May, according to the SEC.

There is no single path to retirement today, and employees are demanding more variety from company offerings.

National Taxpayer Advocate Erin Collins pointed to continuing backlogs at the Internal Revenue Service and difficulty reaching telephone assistance in a report to Congress Thursday.

The robo advisor for socially conscious investors will benefit from becoming part of the largest U.S. bank, but "we also want to maintain the dynamic ... that made OpenInvest what it is," one of its co-founders says.

Wall Street’s remote-work wars intensify as Citigroup commits to a flexible policy with some days at home.

The penalty stems from lapses tied to a March 2020 outage and allegations that the fintech firm let thousands of clients trade options that might not have been appropriate for them.

Edward Al-Hussainy, senior interest rate and currency analyst at Columbia Threadneedle, will discuss the economy, inflation and the Federal Reserve.

The New York-based bank is broadening its offering to financial advisors, a key source of growth in the asset-management industry.

The stress tests used to trigger anxiety across Wall Street, but the banks’ solid showing underscores how comfortable the industry has grown with the exercises.

The wirehouse seeks a recruitment edge over Wall Street banks taking a more hardline approach to in-office days.

Thousands of clients paid sales charges that they wouldn’t have incurred had they held the pricey alternative products until maturity, according to FINRA.

The service is gearing up for a potentially massive tax-enforcement push if Congress passes a plan including $40 billion to expand audits on the wealthy.

The giant wealth manager is re-hitting its stride after its best quarterly net gain in advisors in at least two years.