Financial Counselhttp://www.financialcounsel.comFinancialCounsel.com provides legal advice to investors & advisers. Your Trusted Source for Financial Counsel.en-us60FINRA Promotes World Investor Week 2017http://www.financialcounsel.com/news/http://feeds.finra.org/~r/FINRANews/~3/jWeVxQirysw/finra-promotes-world-investor-week-2017Mon, 02 Oct 2017 00:00:00 -0400FINRA Receives SEC Approval to Streamline Competency Examshttp://www.financialcounsel.com/news/http://feeds.finra.org/~r/FINRANews/~3/jeCPAxKil3g/finra-receives-sec-approval-streamline-competency-examsThu, 05 Oct 2017 00:00:00 -0400FINRA Orders Wells Fargo Broker-Dealers to Pay $3.4 Million in Restitution and Reminds Firms of Sales Practice Obligations for Volatility-Linked Productshttp://www.financialcounsel.com/news/http://feeds.finra.org/~r/FINRANews/~3/r8EUiwShy_o/finra-orders-wells-fargo-broker-dealers-pay-34-million-restitution-and-reminds-firmsMon, 16 Oct 2017 00:00:00 -0400Trump nominates Senate aide for post overseeing DOL fiduciary rulehttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171013/FREE/171019955/trump-nominates-senate-aide-for-post-overseeing-dol-fiduciary-ruleFri, 13 Oct 2017 00:00:00 -0400Finra bars former broker over unauthorized use of discretionhttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171011/FREE/171019980/finra-bars-former-broker-over-unauthorized-use-of-discretionWed, 11 Oct 2017 00:00:00 -0400Preston Rutledge, senior aide on Senate Finance Committee, could be filling Phyllis Borzi’s old post at DOLhttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171011/FREE/171019983/preston-rutledge-senior-aide-on-senate-finance-committee-could-beWed, 11 Oct 2017 00:00:00 -0400Finra orders Morgan Stanley to return $200,000 in variable annuity salehttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171011/FREE/171019985/finra-orders-morgan-stanley-to-return-200000-in-variable-annuity-saleWed, 11 Oct 2017 00:00:00 -0400Raymond James lands $5B custody and clearing clienthttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171011/FREE/171019988/raymond-james-lands-5b-custody-and-clearing-clientWed, 11 Oct 2017 00:00:00 -0400Finra CEO: Regulator will consider more transparencyhttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171006/FREE/171009947/finra-ceo-regulator-will-consider-more-transparencyFri, 06 Oct 2017 00:00:00 -0400Ex-broker ordered to pay $550K for bilking investors with modest incomes and#8203;and#32;http://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171002/FREE/171009995/ex-broker-ordered-to-pay-550k-for-bilking-investors-with-modestMon, 02 Oct 2017 00:00:00 -0400