COMMUNICATE YOUR GREATNESS

HOW YOU CAN DELIGHT, BOND AND NURTURE EXISTING CLIENTS WHILE EFFECTIVELY ATTRACTING QUALITY NEW CUSTOMERS

We know the following are just a few of the all-too-frustrating, "you can't do that" experiences that stand in the way of growing your business...

We know your pain from first-hand experience. Haven't you had enough of that frustration by now? Are you ready to finally- and fully- resolve it?

What you may or may not know is that there IS a low-cost & relatively simple way to do all of what you want to do and more. It's a smart, well-proven way to jettison the merciless, every-great-idea-crushing aggravation of regulatory compliance, shielded by the most fundamental of our Constitutional rights: freedom of speech & freedom of the press. In fact, entities such as the SEC, CFTC and similar are explicitly forbidden from regulating this 'big innovation' that you can certainly implement.

THE ONE BEST WAY FOR REGULATED INVESTOR & TRADER RESEARCH PROFESSIONALS & COMPANIES TO FREELY COMMUNICATE THEIR GREATNESS

If you are a registered investment advisor, institutional or boutique research firm, money or wealth manager, brokerage, investment banker, stock/options/futures/etf/mutual fund/commodities/currency/etc. analyst, fund manager or similar (any B2B and/or investor & trader-serving companies that have to register with investment advisory regulatory entities), there are very profitable business & customer communication opportunities in launching what is known as a financial publisher (hereafter FinPub) division at your company... or separately from it.

A key legal decision from 1985- Lowe vs. SEC- is a good place to begin to discover the very favorable barrier from regulatory compliance a FinPub entity enjoys. The outcome of Lowe should help you recognize that Financial Publishers are largely segregated from many of the most frustrating compliance-based constraints & challenges your company faces every day.

Very simply, FinPub businesses are publishers. As such, they are shielded by first amendment protections. Many of the business growth ideas & tactics- even simple advisor:client communications- that get crushed under the weight & red tape of registered-side regulation & compliance can be utilized with no issues within your own FinPub small business unit (SBU).

If your company added a FinPub SBU, you could capitalize on such innovations there rather than just dismissing them as yet another thing you can't do within the painful limitations of existing regulatory shackles. Many of the idea killers- especially those related to how you would most like to communicate your brilliance, experience, accomplishments & trading performance, etc with clients- can be turned into "Yes, you can do that" actions... not as watered-down, toothless messages... but as interesting, exciting, client-wowing communications. Just about every "No!" can become a "Yes!" if you shift your great marketing ideas to your own FinPub business.

2 separate business entities built upon many of the same core strengths & talent. You could do this too.

These FinPubs don't even have to cold call to grow their client bases. They simply provide an ever-growing pool of people whatever level of service they desire. You know how hard you work to add only ONE quality new account...

A FinPub unit can make it easy to add MANY such accounts every month... with no cold calling.

...another BIG reason you should give this strategic solution serious consideration.

If you've made many futile pitches of communications & publishing-oriented ideas as potential ways to grow your registered-side business- only to have them decapitated by compliance- consider this proof that your instincts are absolutely right. They are! Your problem is trying to execute within the business and regulatory structure currently in place. You can't do much of what you want to do there, especially in most of the ways you'd really like to do it... so think differently!

Creating a simple FinPub SBU is mirroring the move of those financial publishers who are increasingly trespassing on your space. With your very own FinPub SBU, the heavy weight of compliance and regulation is significantly reduced:

• Everything you see FinPubs doing, you'll be able to do too.
• You can shout your greatness from those rooftops... just like they do.
• Your clients & prospects can hear- and be excited by- those messages & the research or education you've always wanted to share with them. Within a FinPub SBU, YOU CAN!
• More prospects will respond by becoming new clients, just like they do for financial publishers. It will be EASIER to add new clients because of greater FinPub-side exposure to millions.
• You can make a lot of new revenue & profit with your FinPub. These are high-margin, recurring-revenue businesses capable of yielding tens or hundreds of millions each year, from a lessor quality of research than what you are likely already producing... even when the performance of FinPub track records are lower- even much lower- than your own.
• There is no better pond from which quality new clients for your existing business can be fished. And a FinPub business pond is re-stocked much more effectively and in much greater numbers than anything even the finest registered-side marketing team can catch.

THERE IS NO SEC, CFTC or other equivalent regulatory compliance department (nor regulatory body licensing requirements like Series 6, 7, 63 and similar) for FinPubs.

Publications like the Wall Street Journal, Barrons, IBD, Forbes, investor & trader blogs, E-zines, websites, newsletters, netletters, podcasts, vodcasts and countless other magazines, books, ebooks, etc are OUTSIDE the purview of those regulatory bodies. As a new publisher, you are merely following their long-term, proven example.

Can those publications write about individual companies & markets? Yes! Can they offer any written speculation about where such positions or markets may be going? Of course they can (and do). Do publications like investor newsletters tout trading performance, make specific recommendations in pretty much all markets and generally blow their own horn (loudly) at how well the people behind them can project where everything is going? You know they do... and have... for decades!

Are they regulated by the SEC, CFTC and similar? No, they are publishers, NOT investment advisors, money managers or brokers, etc. As such, the vast majority of them don't even have regulatory compliance departments. Imagine not having a compliance department killing all of your good ideas!

You can flex your first amendment freedoms and unchained marketing muscles by holding a job in BOTH worlds- in the registered-side business AND in your new FinPub SBU- and make the most of that remarkable new communications versatility afforded by the latter. A high volume of new prospects are more likely to discover your greatness through the FinPub-side communications and then seek out your money managing or advisory services. And won't all of your registered-side clients appreciate getting to regularly hear your own thoughts & views about the markets, recent & future trades, etc... exactly as you want to share them?

THE DEFAULT, SELF-DEFEATING MENTALITY LEAVING ALL THAT UPSIDE ON THE TABLE: "BUT WE'RE DIFFERENT..."

When considering the concept, it's often that same initial reaction by the registered-side players. The contrast is telling:

• Business people in careers on the registered side see starting a FinPub division as nearly impossible... in spite of enormous tangible evidence to the contrary, including many readily-discoverable FinPub "gurus" who own and head both kinds of businesses (and have for many years). "If they can do it, why can't we?" seems like a natural mentality but the registered-side professionals almost always marginalize away such examples... even those they can clearly see with their own eyes.

The key to understanding WHY each side sees the mirror opportunity so differently is to understand the fundamental mentalities:

• FinPub professionals see all opportunities with great optimism because they have always enjoyed wide-open, first amendment freedoms in running their business. You might call them the "CAN" entrepreneurs because they feel they CAN do anything they want. The history of their business experiences is fueled by FREEDOM. They are not accustomed to "No!" nor quickly giving up on a new idea when they face any "No!"
• The registered-side professionals have always seen all marketing and business opportunities as having to be run through a Compliance gatekeeper, where so many of their ideas & marketing messages are up to fully neutralized. In short, they might be called the "CAN'T" entrepreneurs because they perceive they CAN'T do (almost) anything prior to gaining Compliance pre-approval. Compliance is the king of "No!" Those who pitch ideas to Compliance get conditioned to give up easily when they get that "No!" pushback.

Neither is more wrong or more right from their own perspectives & experience, but it is always interesting to see the stark "half full" vs. "half empty" view of the very same end result opportunity of owning BOTH kinds of businesses.

Because it's their (very important) job within the registered-side business, compliance professionals are fully programmed to think within the rules of regulatory law. As such, those "CAN'T" constraints are all built up within the bubble in which regulatory law is applied. The compliance officer must be master of that bubble because they are held accountable for "getting it right" with respect to that particular set of laws.

But regulatory law is not the ONLY law, which leads to a very important legal reality BIGGER than compliance...

Regulatory law is NOT the supreme law of the land!

In the priority of law, Constitutional law trumps ALL subordinate law- of which regulatory law is just one subordinate. Think through this simple chain of examples: Local, county or city law can be overruled by State or Federal law and State law can be overruled by Federal law. Regulatory law is just a subset of Federal or State law. Constitutional law is at the very top of this hierarchy...

The governing law for publishers is Constitutional: freedom of the press, freedom of speech, etc. These particular freedoms are Amendment #1 for a reason...

They are not Amendment 56 or 508 because the founding fathers wanted these to be the very pinnacle of governing law... that there should be no confusion of even 55 or 507 other amendments (before them), implying a higher priority of law than Amendment ONE.

Financial Publishers bask in these tremendous freedoms, free to communicate their ideas, present their trades, tout their own abilities as THEY wish it to be seen or read... not watered down, made toothless and/or filtered by someone else aiming to minimize risk of crossing some imagined line drawn by a lower & weaker set of laws.

You sharing your opinions about the markets, trades and what you think will happen in the future is basically doing exactly what you see in countless other investor newsletters, WSJ, Barrons, IBD, Investorplace, The Street, Zacks, Agora Financial, MarketWatch, Motley Fool, Forbes and others. If they can publish anything & everything they publish, you can too.

Some of them have been freely communicating insights, analysis and opinion for longer than you've been alive. Why doesn't the SEC, CFTC and similar hold them to the same regulatory constraints to which you are accustomed? Because freedom of the press IS GREATER THAN regulatory law.

Think beyond the bubble in which you've been trained. If you set up as a publisher and function as a publisher, you would be just like them... and enjoy the much greater freedoms they have to communicate whatever they want to share with their followers.

Can a registered-side professional have a foot in both worlds? Of course they can! There are PLENTY of examples. Much as you could take a second job with just about any kind of company, you could give yourself jobs in both worlds.

• At the regulated job, function as you do now.
• In your FinPub job, function as a publisher.

Some have been doing this for decades with no regulatory issue or consequences. Why? Because regulatory bodies have tried to overrun first amendment law before... and fail... as long as publishers function as publishers.

We hope the concepts shared in this page become a catalyst for the seed of THIS idea applied to your own situation.

It easy to talk with us about growing something new...

The next page will:

• cover highlights of starting a new financial publishing business unit,
• show you the money in this kind of business,
• go over WHY this can be so profitable for you, and
• how we can help you do it all right.

Interested? Just click the "next" button...