putting social media in the mix

www.usfunds.com1.800.US.FUNDS

U.S. Global InvestorsSearching for Opportunities, Managing Risk

March 201212-088

Putting Social Media in the Mix

Ryan George,Public Relations/Investor Relations

www.usfunds.comMarch 2012 12-088

Today We’ll Cover

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U.S. Global’s Social Media Story A Word of Caution Social Media, FINRA and the SEC Key Considerations What Would You Do? Q&A


Company Overview

Boutique investment adviser specializing in gold, natural resources, emerging markets and infrastructure opportunities around the world

81 full-time employees 13 no-load funds $2.08 billion in average AUM as of December 30, 2011 Managing money since 1968

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Our Key Investment Strategies

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Branding Experience – Educational Philosophy

“Curious to learn and improve” is a core company value that extends to our investor communications.

We strive to educate investors about the world we invest in.

The focus of our website is to create an engaging, educational experience.

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Our communications have won 28 awards from the Mutual Fund

Education Alliance — including best shareholder magazine, electronic

newsletter, blog and website.

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www.usfunds.comMarch 2012 12-088 6

Facebook

Countries

Total Likes631

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Twitter

2,099

229

1,826

76

Followers

Tweets

Following

Listed

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Sites and Tools to Build an Online Community

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Strong Results

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Strong Results

1.6 million

2.6 millionVisits to usfunds.com

Pageviews

600,000Referrals to usfunds.com

*Since January 2010

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Content Distribution

58Content Partners Potential Reach

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25,000,000


Top Social Media Sites

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What Do These People Have in Common?

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8 Ways to Get Fired Using Social Media

Source: The Daily Muse

http://www.thedailymuse.com/career/can-social-media-get-you-fired/

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Compliance Concerns

Record Keeping Suitability Complaints Links to Third Party Sites Testimonials

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SEC vs. Anthony Fields

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SEC vs. Anthony Fields

Fraudulently offering securities through LinkedIn postings Making false statements to the public on the adviser’s

website about the adviser’s business and background. Failing to adopt adequate compliance policies and

procedures by failing to tailor an “off-the-shelf” compliance manual other than by filling in the firm’s name and the name of the COO.

Failing to maintain required books & records by using email and online communication providers (NetZero, LinkedIn and Trade Key)

Failing to adopt a code of ethics

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How Would You Respond? (Scenario 1)

I just had the most negative experience with any company that I have dealt with in my personal life and professional business career. I believe that I received wrong information from a Fidelity Representative and took action based on that information and am now suffering an IRS penalty. The beginning of this month (2/2) I spoke to a rep and they stated that they would pull the call to review and ...his supervisor told him this to determine if in fact I did receive the wrong information and I would receive a follow up phone call . As of today 2/16 I had not received a phone call. So I contacted Fidelity and was told that on 2/2 I received wrong information ( that is strike 2) and that the call would not be reviewed because the compliance dept stated that the contents of a phone call cannot be discussed with the person that was involved in that phone call. If I miss understood the information provided then it is my fault. If the Fidelity rep provides the wrong information and I took action on that information should Fidelity not have some liability in this issue?

No one is willing to help me determine what information was given. Guess what ,STRIKE 3.

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Thank you for writing us here, Julie. We’re going to connect you to someone who can help. At your convenience, can you call Sean, one of our Customer Care reps at: 1-866-402-7135, ext 4006. (He works M-F, 8:30-5 pm, EST) Let us know how it goes.

Unless "Sean" can give me the answers I need THE FIRST TIME I ASK THE QUESTION - I don't want to talk to him. If that's the case - let me know. Otherwise I prefer to talk to someone who can actually make a decision.

Hi Julie, Sean is standing by to discuss your account and address your concerns and he’ll do his best to help you in any way he can. Hope that helps.

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Man, I need to find that’s making money! My vanguard mutual fund has been just bouncing up and down for 10 years or more. Frustrating, time is money.

Yes, Bill, it’s been a frustrating time for many investors. Although we can’t comment on any investor’s specific circumstances, the stock and bond markets. We also believe in holding diversified mix of funds that invests across perspective. We know we sound like a broken record sometimes, but diversification (although it doesn’t ensure gains or protect against losses) is a tenet of ours. Here’s more information on how to make progress on your long-term goals (link)

I have every penny in a high risk fund I forget the name, it used to be called Primecap!! I need to diversify I guess! I’m spinning wheels right now that’s for sure!

Look at mid/small cap & large cap funds w/V’guard & T. Rowe…if you’re reinvesting dividends and not redeeming any $$ you will be fine .. US > International funds long term …

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I hate the new website. I can't find anything. My analysis shows I have zero investments!!!! I can't find my tax information. And I have my info grouped by Accounts, so don't give me that one. I guess I have to call personally and talk to someone because this is not acceptable. I cannot do my taxes w/o my tax information. I am going to have to request paper statements so I can see what's going on!!!

Didn’t they send you the 1099s?

No 1099s...I found the link for tax PDF, but I lost it. The website makes no sense at all and is no longer user friendly. I loved the old one, never had a problem. I cannot find the link for TurboTax. I hate this

I had to call Fidelity to ask when I was going to get my 1099, February 15th. What's up with that! I guess IRS decided to extend the deadline for the 1099's but that just stops us from filing early enough to get any refund.

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Yes, IRS gave more time. I did find the PDFs (after a long search through the new crappy site.

Hi Birgit, I’m sorry to hear about your frustrations with the updates. Not all account types display in the new Analysis tool at this time. We have given feedback to our developers on this, and customer feedback is the main influence that guides improvements to the services and features that we offer. As far as your tax info, we’ve received a mailing extension from the IRS. If you have a current email address on file, we’ll send an email when you can view or print all of your tax forms online. Once available, you can import the data into tax software. For now, you can view the tax mailing deadlines and link to your forms at: www.fidelity.com/taxforms. To see your currently available forms, click on "View Forms." For TurboTax, go to: www.fidelity.com/turbotax. If you have any questions, give us a call at 1-800-544-6666. Thank you for reaching out.

I just received the most condescending email from Fidelity!!! You people must think I am really stupid just because I have an advisor. Who the hell are you protecting??? Your client or advisors??? Disgusting. I am not new to Fidelity and do not need to be treated like this.


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Hi Birgit, I’m sorry about the continued frustrations you’re experiencing. I know you’re in touch with Jonathan Metcalfe now and he’s committed to doing what he can to help.

Yes. Jonathan Metcalfe is wonderful. We will get my issue resolved!! Thanks.


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Social Media - Key Things to Consider

Is There a Social Media Policy in Place? What or Who is the Voice of the Firm? How is Activity Monitored? Policies for Third Party Comments/Postings

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Limited Ability to Screen Your Community

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Social Media — Tips

Finding a social voice

Cross-promote

Don’t pay for following

Be responsive

Read This Book!

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Come Visit Us at…

Facebook: www.facebook.com/usfunds

Twitter: www.twitter.com/usfunds

Frank Talk: www.usfunds.com/franktalk

Investor Alert: www.usfunds.com/alert


U.S. Global Investors is Mobile

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Get Investor Alert and Frank Talk On the Go

Visit www.usfunds.com/apps


Feel free to contact me with any questions or comments:

Ryan [email protected]

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All opinions expressed and data provided are subject to change without notice. Some of these opinions may not be appropriate to every investor. The S&P 500 Stock Index is a widely recognized capitalization-weighted index of 500 common stock prices in U.S. companies.

putting social media in the mix

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