Financial Markets

Mutual Fund Basics

Course Overview:

Mutual funds have become more and more popular as a way for investors to save for retirement and other long-term financial goals. This popularity is partially due to the fact that mutual funds are available to a wide range of investors at a variety of economic levels. Many mutual funds have account opening minimum requirements that are small enough to provide the opportunity for many people to purchase mutual funds. The systematic investment plans that allow regular contributions have opened mutual fund investing up to an even larger segment of the investing public.

This program will cover the basic elements of mutual fund investing for individuals wanting to include mutual funds in their financial plan. The topics that will be covered include: how mutual funds are organized and how they function; the three types of mutual funds; how mutual funds are priced; how mutual funds are purchased and sold ; how they earn money for the investor; how they are regulated.

Learning Objectives:

After completing this course, participants should be able to:

  • Identify the characteristics of a mutual fund.
  • Identify the key characteristics of various types of mutual funds including stock funds, bond funds, and money market funds.
  • Identify the types of funds that invest in high-quality, short-term investments issued by the U.S. government.
  • Recognize the types of investors that would be more inclined to invest in money market mutual funds.
  • Distinguish between the types of mutual fund fees, including those that are paid out by the mutual fund assets.

Prerequisites/Advanced Preparation:

Basic knowledge of finance principles and practices

Speaker / Author:

Rich White is a financial writer and editor with over 25 years of experience in the financial services industry. Mr. White graduated from Vanderbilt University in 1972 with a B.A. degree, major in English, and has held Series 7 and 63 licenses.

His areas of special interest include financial planning and retirement plans, annuities, equities, fixed income securities, mutual funds, insurance products, seminar selling, retirement analysis and illustrations, prospecting skills and tax-efficient investing. He writes a regular column and weekly blog for the advisor Website BenefitsPro.

Among the clients Mr. White has served are: American Express Financial Advisors, AXA Financial, the Bond Marketing Association, Chase Manhattan Bank, Citibank, the Closed-End Bond Fund Association, Conseco, Coregis, Dime Savings Bank, Evergreen Funds, First Union National Bank, Fleet Boston Financial Corp., Frank Russell Company, GE Capital, Guardian, Invesco, J. & W. Seligman, MacKenzie Financial Services, MetLife, Orbitex Capital, Prudential Financial, Nathan & Lewis Securities, National Life of Vermont, SEI Investments, Sentinel Funds, TIAA-CREF, William Blair Funds, and Van Eck Funds.

Mr. White is the author of two books written for financial advisors: 12 Steps to Your Personal Success in 401(k)s and Small Business Retirement Plans and How to Find and Keep High Net Worth Clients. Both books were published in 2001.

Mr. White has written the training courses used by the Canadian Association of Independent Financial Advisors (CAIFA) on financial planning, mutual funds and investment markets. He also has worked as editor of professional newsletters published by the former Investors Press: 401(k) ALERT and Variable Products ALERT.

From 1977 to 1981, Mr. White worked as the first full-time Editor-in-Chief of Financial Planning magazine, the monthly trade journal then owned by the International Association of Financial Planning (IAFP).


Price (USD)

Standard: $24.95


Course Code : 99FINCA07

Release Date : 07/08/2015
Expire Date : 12/31/2021
Credits :
CPE 1.00
QAS 1.00

Course Level : Basic
Course Type : New Standards
Length : 50min
Passing Grade : 70%
Field Of Study : Finance
Theme : Financial Markets

Format Type : eLearning
Mobile Compatible

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