September 8, 2020
INVESTMENT ADVISER MARKETING FEEDBACK FORM
1. Have you ever hired, or considered hiring, an investment adviser? Because investment advisers are the subject of this proposed rulemaking, please focus your responses in this questionnaire on investment advisers rather than brokers. :
2. Have you viewed any investment adviser advertisements? For example, have you looked at an advisers website or a presentation? :
3. Have you looked at an advisers past performance results when considering hiring an investment adviser?
4. Have you ever specifically requested past performance results from the investment adviser? :
5. If you have viewed an advisers past performance results, have you discussed them with the adviser? :
6. If you have viewed an advisers past performance results, did you believe that those past performance results would predict the future performance that the adviser could achieve for you? :
7. How important is it to know the following information when reviewing the past performance results of an adviser?
Performance results minus fees and expenses (i.e., net performance) :
A schedule of the specific fees and expenses deducted to calculate net performance :
Performance results for one-, five-, and ten-year periods :
Other information (if any, please describe) :
8. Have you reviewed hypothetical performance results that demonstrated how an investment strategy could have or would have worked?
9. Have you reviewed targeted performance returns or projected performance returns?
10. Would other peoples opinions of the adviser (e.g., testimonials by advisory clients, and endorsements by non-clients), or an advisers rating by a third-party (e.g., Rated B+ by Adviser Reports) help you choose an investment adviser? :
11. How important is it to know the following information when considering a testimonial, endorsement, or rating of an adviser?
Whether the person giving the testimonial or endorsement is a current client :
Whether the adviser pays the person giving the testimonial, endorsement, or the rating :
How recent the rating is, and the period of time it covers :
Other information (if any, please describe) :
12. What other information do you think would make the advertisements not misleading?
13. Has a paid salesperson (a solicitor) ever referred you to an investment adviser? :
14. Would it affect your decision to hire an investment adviser if you knew that the adviser paid a salesperson to refer you to the adviser? :
15. How important is it to know the following information about a paid salespersons referral?
Amount paid to the solicitor for referring you to the adviser :
Whether there will be any additional cost to you:
The solicitors relationship to the adviser :
Whether the solicitor has been disciplined for financial-related misconduct :
Other information (if any, please describe) : There all crooks especially after the collapse of the tech stock crash going on since 9/3/20 has anyone ensue complained abou the pump up of tech stocks the the dump on it its a goddam. Pump and dump and I want my BB losses recovered in so sick I cant even look at the damn thing it was a planned scam that drew in the less than investors then sold it off by claiming its a week investment this big loss is nothin kore than a pump and dump investigate it