Description
Learn the basics of preparing the personal financial plan.
Objectives
- Identify applicable securities acts by their purpose and function.
- Recall the necessary registrations and licensing exams to sell specific investments.
- Identify the appropriate amount of Securities Investor Protection Corporation coverage for a client of a broker-dealer.
- Recall asset allocation strategies and their specific uses in an investment portfolio.
- Identify the type of Treasury-backed securities to recommend to a client based on individual facts and circumstances.
- Recognize accounts insured by the Federal Deposit Insurance Corporation (FDIC) or the National Credit Union Administration (NCUA).
- Recall criteria for the selection of a suitable investment adviser.
- Recognize various types of investment vehicles.
Highlights
- Regulatory environment
- Investment vehicles
- Investment constraints
- Asset allocation
- Investment manager selection