Learn the basics of preparing the personal financial plan.
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
