Mutual Funds - Firm Element Course

American Investment Training offers qualified and inexpensive online firm element training for mutual funds and other products.

Mutual Funds Firm Element CE

Courses

Basics: Mutual funds are important investment instruments that have been essential to both individual and corporate investors for well over a century. Beginning with a brief overview of basic investment principles and the evolution of mutual funds, this course addresses the fundamentals of mutual funds, how they are categorized, their roles and functions, and their investment characteristics. Compliance and regulatory issues are also examined.

LEARNING OBJECTIVES: Understand the history of mutual funds. Know the basic definition and workings of mutual funds. Recognize the various financial entities that work with mutual funds. Identify the impact and provisions of the Investment Companies Act of 1940, and its impact on mutual funds. Recognize different types of mutual funds. Identify the advantages and disadvantages of investing in mutual funds. Recognize compliance and regulatory elements governing mutual fund sales and programs.

TOPICS COVERED: • Introduction • Lesson 1: Mutual Funds • Lesson 2: Mutual Funds in the Investment Companies Act of 1940 • Lesson 3: Types of Mutual Funds • Lesson 4: Pros & Cons of Mutual Funds

REGULATORY REQUIREMENT: Please see the state/regulatory requirement from the course catalog page.

SEAT TIME: This course has been approved for 2 hours.

COURSE PRE-REQUISITE: N/A

TESTING: Final Exam - You will be required to pass the final exam with a 70% in order to receive course credit.

COURSE COMPLETION: Upon successful completion of this course you will be able to print your certificate online.

ABOUT THE SUBJECT MATTER EXPERT: This course was created by MGL Consulting, a leading provider of registration and compliance services to the financial services industry, since 1984. MGL’s team of experienced professionals provide a wide range of products and services designed specifically for broker/dealers, investment advisors and insurance companies, including: • NASD, SEC and multi-state licensing and registration for broker/dealers • SEC and multi-state licensing for investment advisors • Insurance licensing, appointment and renewal services • Written Supervisory Procedures • Business Plan development • Business Continuity Plans • Regulatory Compliance Audits • Continuing Education Needs Analysis and Program Development • Financial Reporting • Annual Compliance Meeting Programs

Mutual Fund Compliance: This course provides an overview of Mutual Fund Compliance requirements, including the rules governing Retail and Wholesale Mutual Fund transactions. It includes the following lessons: • Mutual Fund Compliance Overview • Retail Compliance • Wholesale Compliance

Mutual Funds - Advanced: This course presents a complete and comprehensive overview of the topic of Mutual Funds. It begins with a thorough study of mutual fund characteristics, features and benefits. The course covers several major forms of investment management companies including Unit Investment Trusts, Open-end and Closed-end mutual funds, and Exchange Traded Funds. 4 Hours

Mutual Funds for Firm Element: General Mutual funds are important investment instruments that have been essential to both individual and corporate investors for well over a century. Beginning with a brief overview of basic investment principles and the evolution of mutual funds, this course addresses the fundamentals of mutual funds, how they are categorized, their roles and functions, and their investment characteristics. Compliance and regulatory issues are also examined. 1 Hour

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Group Firm Element Continuing Ed

Course credit subjects include:

Principles of Fraud and Consumer Protection - An increasingly global marketplace and a sometimes-unstable economy have driven many in the business sector to seek alternative methods of profit and success: fraudulent activities. Increased scrutiny has placed fraud awareness at the forefront of the marketplace; recognizing the warning signs and having anti-fraud measures in place can greatly reduce a company or individual’s liability, and protect consumers.

Mutual Funds - These are important investment instruments that have been essential to both individual and corporate investors for well over a century. This CE training course begins with a brief overview of basic investment principles and the evolution of mutual funds, this course addresses the fundamentals of mutual funds, how they are categorized, their roles and functions, and their investment characteristics. Compliance and regulatory issues are also examined.

529 Plans - The cost of an average four-year college education is estimated to soon grow to $100,000, and tuition is rising annually. Without a proper investment strategy, funding a child’s college education is prohibitive for many Americans. 529 Plans (The Plan) provide investors with a means of earmarking investments specifically for educational purposes. This CE training provides an overview of 529 Plans and their components, compliance issues associated with them, and how to determine the right plan for your client.

Group Firm Element

Firm Element Courses

Begin your securities ce firm element course training online using our virtual university. Each course is approved and designed to earn each licensed individual their firm element continuing education credits.

All credit hours and subjects can be viewed beforehand. Each CE subject completed is reported and logged.

All licenses are approved including Series 7, Series 24, Series 6 and Series 27.


VIEW ALL SUBJECTS HERE - View all subjects and free demo samples on each one. All are approved for continuing ed credit hours.



Have multiple Reps or Looking for group Firm Element course rates?: Contact our corporate training director nickhunter@aitraining.com


Course credit subjects include:

Principles of Fraud and Consumer Protection - An increasingly global marketplace and a sometimes-unstable economy have driven many in the business sector to seek alternative methods of profit and success: fraudulent activities. Increased scrutiny has placed fraud awareness at the forefront of the marketplace; recognizing the warning signs and having anti-fraud measures in place can greatly reduce a company or individual’s liability, and protect consumers.

Mutual Funds - These are important investment instruments that have been essential to both individual and corporate investors for well over a century. This CE training course begins with a brief overview of basic investment principles and the evolution of mutual funds, this course addresses the fundamentals of mutual funds, how they are categorized, their roles and functions, and their investment characteristics. Compliance and regulatory issues are also examined.

529 Plans - The cost of an average four-year college education is estimated to soon grow to $100,000, and tuition is rising annually. Without a proper investment strategy, funding a child’s college education is prohibitive for many Americans. 529 Plans (The Plan) provide investors with a means of earmarking investments specifically for educational purposes. This CE training provides an overview of 529 Plans and their components, compliance issues associated with them, and how to determine the right plan for your client.


VIEW ALL SUBJECTS HERE - View all subjects and free demo samples on each one. All are approved for continuing ed credit hours.

Anti Money Laundering CE Course

Financial institutions are at the forefront of the battle against the money launderers. It is not only their institutions that the money launderers target to use in their various nefarious schemes but under current legislation they are responsible for policing the financial dealings and reporting any suspicious transactions. 1 Hour

Over 50 courses available

Ethics and Suitability
Anti Money Laundering
Securities Products, including mutual funds, annuities, bonds and options
FINRA Rules and Regulation
Economics and more

Visit: Firm Element CE Training

Series 65 Courses

Our CD Software Program for the Series 65 is designed to get you to pass the exam fast. It is a perfect addition to any study material you have. Even if you are not using our books!

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Many reasons to use the Series 65 CD program from American Investment Training. - We have been providing CD test programs with great success for over 12 years! (testimonials below)

This program uses exam tough questions. a 75% is a 75% with THIS program. Were you scoring higher using another program and then still failed? Does not happen with our CD.

Our students are NOT surprised by what they see when they take the real test after using our program.

Can install on more than one machine

Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.

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9 Final Exams. Fully updated!
Detailed Answer Explanations
Full Color
Can Install on more than one machine

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Insurance CE Courses

American Investment Training AIT offers a virtual university for insurance continuing education CE credits. The courses are online and satisfy the insurance industry requirements in your state.

All licensed insurance agents must complete a certain amount of CE courses on an ongoing basis. The training is available for life insurance brokers, property and casualty and others.

The training is available on line and can be printed. You can also purchase printed material, if you prefer doing your course work that way.

Life Insurance CE

We have over 25 Life courses to satisfy the continuing education requirements needed. Credits include annuity, estate planning, long term care, investing and more.

Property and Casualty Continuing Ed
Over 2 dozen P & C courses can be taken online. The catalog for CE credits include flood insurance and risk management, auto, property and more.

Group Continuing Education

If you are a manager of a firm looking for group CE on an ongoing basis, please contact us directlty or visit our virtual site.
Visit: Online Life and Health CE Courses for full catalog of all states and all lines.

Life Agent Insurance Continuing Education Courses - Life and health CE

American Investment Training provides life and health ce continuing ed courses for insurance agents in all states where continuing education is required.

Life, Health and P & C Courses include:

Life Insurance Concepts - Life Insurance Concepts examines the important concepts affecting life insurance, its uses and taxation. The text considers the fundamental purposes of life insurance, including its use in the personal family market as a tool for the creation of an estate and for its conservation. Students are introduced to the concept of a life insurance policy as a contract. In that introduction, the roles of the parties to the contract are examined as are the technical issues involving offer, acceptance and consideration.

Health Agent, life Agent, Annuities and more.

Low cost per course or bundled for fast continuing education credit.




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Life and Health CE Courses