1. SOCIAL MARKETING & RESEARCH OVERVIEW SEVENTH ANNUAL FINANCIAL LITERACY LEADERSHIP CONFERENCE SEPTEMBER 29, 2014 U.S. Commodity Futures Trading Commission Office of Consumer Outreach

2. 2 These remarks are my own and do not necessarily reflect the views of the CFTC, its Chairman, Commissioners, or staff.

3. CFTC Consumer Outreach Behavior Change Objectives  Recognize the signs of persuasion before investing  Checking the background of any financial product or person  Reporting suspected or known incidents of fraud 3

4. CFTC Consumer Outreach Initial Target Audience  Ages 50-65  Men & Women  “Middle to upper” household income  Financially literate / familiar with financial products & services 4

5. CFTC Consumer Outreach Message Testing & Framing 5 Mindset

6. 6 Compared to other people you know…what statement best describes your investment research and skills? CFTC Consumer Outreach

7. 7 Please indicate how likely you believe it is that such a situation could happen to you. CFTC Consumer Outreach

8. 8 36% Agree CFTC Consumer Outreach 36% Disagree

9. 9 How important is each of the following sources for you personally when it comes to researching potential investments? CFTC Consumer Outreach

10. Message Testing & Framing 10 Behaviors

11. 11 What Do You Mostly Rely on When Verifying Financial Professionals? CFTC Consumer Outreach

12. 12 What do you do when selecting a professional financial advisor? CFTC Consumer Outreach

13. Message Testing & Framing, Campaign Design & Outreach 13 Message & Outreach Strategies

14. 14 CFTC Consumer Outreach Use expert tools and tips to assess investment opportunities and make better decisions Use BASIC to Outsmart fraud perpetrators

15. 15 CFTC Consumer Outreach Language Library

16. 16 CFTC Consumer Outreach Measurement, Evaluation, and Revision

17. 17 CFTC Consumer Outreach Input Measures Staff hours Program funding Output Measures Campaign reach / visibility Ad / content performance Site traffic Increased use of tools Outcome Measures Increased fraud sign awareness Increase in reported background checks Increased tip & complaint volume Impact Outcomes Fewer fraud cases Decrease in reported fraud Items in blue can be measured by CFTC and vendor tools Items in red will require an annual survey to measure

18. Nisha E. Smalls Lead Consumer Specialist nsmalls@cftc.gov 202-418-5895 Newsletter Subscription – www.cftc.gov/ConsumerProtection/EducationCenter www.cftc.gov/ConsumerProtection/EducationCenter Research – www.cftc.gov/ConsumerProtection/resources 18 CFTC Consumer Outreach

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25. “Which of the following, if any, would you be most concerned about when it comes to reporting suspected fraud? Please pick the top 2.” 25

26. 26 “Have you ever invested money in something that turned out to be fraudulent?” How many times? CFTC Consumer Outreach % Yes Concerned (12%) Not concerned (6%)