On-Demand


2.5 CPE

Investment and Education Planning

On-Demand
2.5 CPE

Learning 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.

Major Topics

Regulatory environment;Investment vehicles;Investment constraints;Asset allocation;Investment manager selection

CPE Credits Available

2.5 CPE
2.5
Specialized Knowledge

Things to Know About This Course

Course Level

  • Basic

Professional Area of Focus

  • Leadership
  • Pracitioner
  • Pracitioner's
  • Pracitioners

Prerequisites

None

Advanced Preparation

None

Provider

AICPA

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