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917 Financial Literacy Study Part3

917 Financial Literacy Study Part3

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Published by MarketsWiki

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Published by: MarketsWiki on Oct 16, 2012
Copyright:Attribution Non-commercial

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08/28/2014

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Submitted to: The U.S. Securities and Exchange CommissionJuly 26, 2012
This study presents the findings of Siegel & Gale LLC (Siegel+Gale) and does notnecessarily reflect the views of the U.S. Securities and Exchange Commission (SEC),its Commissioners, or members
of the SEC’s
staff 
Investor Research Report
 
Table of Contents (1 of 2)
2
Topic Page
+Introduction4+Focus Groups10+Focus Group Methodology11+Focus Group Selected Quotations16+Online Survey38+Online Survey Methodology39+Form ADV Part 2A (Brochure)54
+Selecting an Investment Adviser 55
+Fees/Compensation Module87+Conflicts of Interest Module106
 
Table of Contents (2 of 2)
3
Topic Page
+Online Survey (continued)+Trade Confirmations (Confirmations)/Account Statements128+Comprehension and Perceptions of Example Trade
Confirmations129
+ Account Statements Module150+Sweep Accounts Module178+Mutual Fund Summary Prospectus199
+Investor Experience with and Perceptions of Statutory
Prospectuses and Summary Prospectuses
201
+Summary Prospectus Document Review andComparison to Pre-Review Perceptions217+Point-of-Sale (POS) for Financial Intermediaries245
+Selecting a Financial Services Firm or Advisor 246
+Disclosures and Potential Conflicts of Interest257

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