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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Visit American Investment Training for Firm Element Training

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