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Course List
Introduction to the Securities Industry
Introduction to the Securities Industry
Introduction to U.S. Securities Processing
Securities Lending and Borrowing : An Operations Perspective
Foundations of Investment Management and Buyside Operations
Dealing with Change in the Financial Markets
Collateral Management: An Operations Perspective
International Issues
International Securities Operations
International Portfolio Accounting
Foreign Currency: Markets, Clearance, Settlement & Accounting
Foreign Exchange: Lifecycle of a Trade
Corporate Actions
U.S. Domestic Corporate Actions
Global Corporate Actions
Capital Markets
Capital Markets Overview
Capital Market Economics - Investigating the Linkages Between the Real Economy and the Financial Markets
Portfolio Management
Portfolio Management
Securities Analysis
Managing Risk
Risk in a Global Market - Management and Operational Challenges Looking Forward
Financial Management
Financial Accounting and Financial Mathematics
Financial Statement Analysis
Fixed Income Securities
Bond Math: Mathematics of the Fixed Income Market
Structured Securities: MBS, ABS, CDOs
Introduction to Fixed Income Products
Accounting for Fixed Income Securities and Derivatives
Mortgage-Backed Securities
Collateralized Debt Obligations and Credit Default Swaps (CDOs and CDS)
Fixed Income Analytics
Interest Rate Swaps and Credit Default Swaps
Fixed Income Securities Trade Processing and Operations
Accounting, Regulatory & Management
Stock Brokerage Accounting & Securities Regulations
Introduction to Private Equity Markets
Trading After the Volcker Rule
Dodd-Frank for Non-US Derivatives Users
Complying with the MiFID II/MAR Rules
Introduction to Derivative Products
Derivatives: Markets, Operations, Accounting & Control
Derivative Products: Risk Management and Valuation
Option Valuation and Trading
Equity Derivatives: Futures and Swaps
Interest Rate Futures and Swaps
Introduction to Options: Products, Trading & Processing
Swaps Processing and Operations
Commodity Futures: Energy, Metals and Agricultural
Equity Options: Strategies, Accounting and Operations
Mutual Funds
Introduction to Mutual Funds
Mutual Fund Operations

Course Description
Introduction to Mutual Funds
Available Dates:
There are no dates available.
Course Code: 900
Duration: 1 day
Level: Basic
Fee: $795.00
CPE Credits: 6
Prerequisite: No Prerequisite Required.

This seminar provides an understanding of the mutual fund environment and its unique requirements. Participants will acquire a sound foundation in what constitutes a mutual fund, as well as the types of mutual funds that are offered and how they are purchased, distributed and redeemed. Also reviewed will be the regulatory bodies and corresponding regulations pertaining to mutual funds. Key mutual fund structures will be discussed.

Topics for Discussion Include:

Investment Act of 1940

Mutual Fund Concept


Net Asset Value (NAV)

Types of Mutual Funds

Mutual Fund Purchases

Types of Yield

Mutual Fund Redemption

Distribution of Mutual Funds

Use of the Prospectus

NASD Regulations

Customer Accounts and Services

Forms of Ownership

Federal Taxes

Purchases of Mutual Funds on Margin

Contractual Plans

Mechanics of Short Sales

Real Estate Investment Trust

Fixed and Variable Annuities

Assumed Investment Return

After completing this seminar participants should be familiar with the following:

  • The Federal Regulation and the General Concepts of Mutual Funds. In addition, they will be able to calculate the net asset value based on the information supplied in the newspapers and identify the various types of mutual funds
  • The methods of purchasing mutual funds as well as the redemption of mutual fund shares. Read and understand the prospectus of a mutual fund, the statement of policy and a review of the NASD rules concerning mutual funds
  • The various methods of distributing mutual funds, understand the rules of contractual plans, front-end load vs. spread-load alternative and tax advantages of sub-chapter M of the Internal Revenue Code