Smart-Check Message Testing On-Line Moderator's Guide

FAST-TRACK (2017) CFTC Message Testing Online Focus Groups_mod guide outline_5.22.docx

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Smart-Check Message Testing On-Line Moderator's Guide

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CFTC Message Testing Online Focus Groups (4)

Moderator’s Guide Outline

May 22, 2017


Dates: Week of June 12 (TBD)

Length: 60-minute groups (2 with seasoned investors, 2 with moderately experienced investors)


Introduction (5 minutes)

  • Purpose of the groups, confidentiality disclaimer, participant rules

  • Introductions for individuals – tell me a little about yourself, what you do for a living, what you do in your free time [also serves as persona-building]


Investing Experience (10 minutes)

  • Which financial products do you currently invest in? How long have you been investing in financial products?

    • PROBE: mutual funds, individual stocks, individual bonds (types of bonds – savings bonds, Treasuries, corporate), derivatives)

    • What led you to start investing in these products? PROBE on commodity futures, options, FOREX, precious metals, etc. if investors have experience in this area

  • [IF TIME PERMITS] How would you describe your investment risk tolerance (use easel and get comments from all participants)?

  • If someone approached you with an investment offer, what would be your initial reaction?

  • What types of research, if any, would you complete before investing with them?


Awareness of CFTC/SmartCheck (10 minutes)

  • Are you aware of any government or other entities that protect against:

    • Investment fraud?

    • Fraudulent futures and commodities trading?

  • [If not mentioned, ask] Have you ever heard of CFTC/the U.S. Commodity Futures Trading Commission?

    • What have you heard? What do you think they do?

  • Have you ever heard of the online SmartCheck tool, SmartCheck.gov?

    • What have you heard? Have you used it? Who produces this tool?


Concept/Materials Evaluation (30 minutes) – materials to be evaluated include 3 concept statements and one banner display ad for CFTC SmartCheck.gov


Show first concept/banner ad (randomize order of concepts and ad)

  • What are your initial reactions this concept/ad?

  • What words stand out to you in particular – highlight words you like, strike words you don’t like?

  • Who do you see as the target of this concept or ad?

  • What would you expect to see/find on a website after clicking on this ad?


Repeat for all materials

  • Which one of these messages/concepts do you find the most compelling? Why do you feel that way?

  • Which of these do you find the least compelling? Why do you feel that way

  • What would you change?

    • Are there any other messages you think would be effective in driving people to check the background of their financial professionals?


[IF TIME PERMITS] Show SmartCheck.gov website

  • What are your initial reactions to this website? Do you find it easy/confusing?

  • [CHECK PAGE] What are your reactions to this page? Do you see a clear call-to-action/do you know what the website is asking you to do?

  • What other information would you like to see that you do not?

  • What would you change about the website, if anything?



Wrap-up (5 minutes)

  • Do you have any suggestions on how to best reach busy people like yourselves about this type of information?

  • Do you think you yourself could fall victim to an investment scam – why or why not?


Dismissal – thank respondents for their time

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