August 24, 2004
In regards to the Broker-Dealer Rule Exemption, I ask that you withdraw rather than amend this proposal. Our industry has enough challenges. All who hold themselves out as financial service professionals should adhere to the SAME set of standards and rules. While I have an opportunity to comment,I am also very concerned about those individuals calling themselves advisors and/or financial planners without the proper credentials. It appears that some broker-dealers are ignoring their responsibility to police their reps. Any ideas?