SEC Investor Alert Highlights Worst Seminar Marketing Techniques

Monday, October 24, 2011 07:12
SEC Investor Alert Highlights Worst Seminar Marketing Techniques

Tags: client education

The SEC's latest alert for investors is a great refresher course for advisors who want to advertise their own seminars without getting in trouble with the regulators.

This Website Is For Financial Professionals Only


The checklist of things the SEC wants investors to watch out for when considering signing up for a trading seminar is pretty simple.


All advisors should already know the basic rules: don't guarantee returns and don't apply pressure. 


While the alert specifically applies to "trading" seminars, it's probably not a good idea to entice participants by claiming that anything you'll teach them is ever "easy" or "simple."


Besides, you probably want your clients to appreciate all the heavy lifting you do behind the scenes.


And while you can dazzle them with your expertise, don't even hint at linking the seminar to your regular services. Let the "free" seminar stay free.


The best way to avoid the appearance of high-pressure sales tactics is not to sell at all. This is a prospecting event, not a pitch. 




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