Catalogue

Description

This course will be an overview of:

• The securities market, the financial firms providing services to individual investors, and the agencies providing oversight of securities markets and investment professionals.
• The various types of investment securities (stocks, bonds, mutual funds, exchange-traded funds, stock options) and the risk-return characteristics of each.
• The principles and tools of investment analysis and selection of suitable investments: the risk-profile questionnaire, asset allocation, style box, benchmarks, and the efficient frontier.

After completing this course, the learner should be able to:

• Understand the distinction between primary and secondary markets.
• Distinguish between the financial firms and professionals providing client investment services and how they are paid for their services.
• Identify the agencies providing oversight to the securities markets.
• Identify the various investment instruments commonly used by individual investors including stocks, bonds, mutual funds, and exchange-traded funds.
• Distinguish between debt securities and equity securities.
• Compare domestic, global, and international securities.
• Understand the various categories of mutual funds including large-cap, small-cap, and blended.
• Understand the risk/return trade-off that is used in designing the various allocation models.
• Use the risk profile questionnaire to identify a suitable investment mix for an individual.
• Recognize the implications of using various investment options inside other instruments such as variable life insurance policies or retirement accounts.