1. Investors Study - Wednesday, October 7th or Thursday, October 8th

Thank you for taking the time to answer these brief questions. As always, we appreciate your input as a valuable Plaza Research respondent. We have a new study on INVESTORS that you maybe in interested in.

PLEASE DO NOT RESPOND IF YOU HAVE DONE A STUDY WITHIN THE LAST 6 MONTHS.

We are looking for males and females at least 30 years old. This study is a 2-hour individual interview and will take place in downtown San Francisco on either Wednesday, October 7th or Thursday, October 8th. The honorarium is $125.00 for your participation.

IF you qualify based on the answers provided THEN you will receive a call back. However due to the popularity of our surveys and groups, we can't contact everyone. Please note that all responses will be returned on a first come, first served basis until the studies are full.

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* 1. Contact Information

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* 2. Employment Information

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* 3. What is your gender?

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* 4. What is your age?

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* 5. What is your ethnic background?

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* 6. What is your current employment status?

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* 7. Do you or does anyone in your household currently own any mutual funds?

(Mutual funds pool the money of many people and invest the total amount in stocks, bonds or money market instruments)

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* 8. Are you the person in your household who is MOST responsible for making investment decisions (on the funds that are outside of any employer-sponsored plan)?

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* 9. Would you say that you have at least 50% of the decision-making responsibility for investment decisions?

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* 10. Of the mutual funds currently owned, are any of these part of an employer-sponsored retirement plan, such as a 401(k)?

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* 11. Are you currently invested in any type of variable annuity that you purchased through an independent broker, financial adviser, bank, insurance company or other type of financial services provider?

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* 12. FOR OWNERS OF VARIABLE ANNUITIES ONLY:

Through this variable annuity, are you invested in any mutual funds?

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* 13. FOR OWNERS OF VARIABLE ANNUITIES ONLY:

Do you currently own any VARIABLE ANNUITIES from the following companies:

(check all that apply)

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* 14. IF YOU DO NOT OWN VARIABLE ANNUITIES:

A variable annuity is basically a contract issued by a life insurance company that enables you to invest, on a tax-deferred basis, in a range of mutual funds. The variable annuity can provide income payout to you during your lifetime and can provide a benefit payout to your family in the event of your death. How interested are you in learning more about variable annuities?

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* 15. When it comes to using a computer do you consider yourself:

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* 16. Thinking about your INVESTABLE ASSETS, such as those in checking and savings accounts, mutual funds, individual stocks and bonds, brokerage accounts, CDs, annuities, IRAs, any government securities or any retirement plan where you determine how the money will be invested, would you say this amount is...?

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* 17. Thinking about approximately how much is invested in any MUTUAL FUNDS would you say this amount is...?

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* 18. Here's a hypothetical question. If you were going to invest in a MUTUAL FUND, would you be more likely to use a full-service broker or other type of professional financial advisor to complete the transaction, either one you have now or a different one, OR would you be more likely to go through a discount broker, like Schwab, OR would you be more likely to complete the transaction directly with the fund company?

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* 19. How many mutual funds that you currently own were bought through a broker or other financial professional?

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* 20. Do you currently own any of the following mutual funds:

(check all that apply)

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* 21. If you qualify, what is your preference?

**IMPORTANT**
PLEASE PRESS "DONE" BELOW. YOUR ANSWERS WILL NOT BE SAVED WITHOUT DOING SO.

Thank you for participating in our survey. IF you qualify based on the answers provided THEN you will receive a call back. However due to the popularity of our surveys and groups, we can't contact everyone. Please note that all responses will be returned on a first come, first served basis until the studies are full.

*****REFERRALS ARE GREATLY APPRECIATED!*****

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* 22. ******FOR COMPANY USE ONLY******
(Please press "DONE")

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