Frequently Asked Questions

Will I have to submit this to my compliance department?

There are 2000 broker-dealers in the United States. Each makes up their own rules and sometimes those rules differ from office to office.  We do not know the rules for your firm or your office so please inquire within your firm.

Each month, when we supply the transcript. You could forward this to a compliance person for review, have them make changes, and incorporate those changes before you record your video.

The transcript will never mention specific financial products or services.

Should I use additional editing programs to try to make my video look even more polished and slick?

That is not necessary as we will supply for you a professionally produced intro (first few seconds of your video) and outro (last few seconds of your video) with professional graphics and music (you will choose from our library).

When do you send out the scripts? Same day every month?

We will send the transcript in the first week of the month with the following exception:  If there is some financial news story (e.g., the failure of Silicon Valley Bank), we will produce a video on this issue as soon as possible.  Let’s say we have delivered the video for October in the first week of October.  We may deliver the November video in October if there is some fast-breaking financial news and we want to get that transcript to you for fast dissemination to your prospects and clients.

‌Do I need any talents or skills to make great videos?

No.  Just watch the training videos we provide you.  That is all you need to do.  Common sense:

• Have a peasant expression on your face
• Do not speak in a monotone
• War clothes that match your audience. In some cases, you may want to wear a jacket and tie (for example, if you market to an older conservative audience).  Of course, if you market to an agricultural community, you want to dress informally.
• Use a good background such as a bookshelf or wall with your diplomas or certificates.