Subject: File Number 4-606

August 29, 2010

The titles of brokers, dealers, investment advisers don't really explain how they differ one from another.
I have no idea what kind of rules/standards there are for each of them and how that differs. It would be much easier for consumers who are choosing someone to help them if brokers, dealers and advisers of any kind had to follow the same rules and standards. It's very difficult to get thorough information about available offerings and costs up front.

Nina Rusko