Mutual Funds _OH

This course presents a complete and comprehensive look at mutual funds. It begins with a thorough study of mutual fund characteristics, features and benefits and covers several major forms of investment management companies including Unit Investment Trusts (UITs), Open-end and Closed-end mutual funds, and Exchange Traded Funds (ETFs).  Fund investment objectives, risks, fees and expenses and covered as are taxation issues.  The course describes the structure of the fund, and how the fund’s team works together to serve investor needs. Also covered are the topics of application breakpoints and breakpoint abuse. The course concludes with a discussion of asset allocation and the role mutual funds play in helping investors meet their financial goals. 

The course includes the following chapters:

  • Basic Characteristics of Mutual Funds
  • Mutual Fund Features and Benefits
  • Types of Investment Companies
  • Fund Investment Objectives
  • Risks of Mutual Funds
  • Taxation of Mutual Funds
  • Fund Structure
  • Fees and Expenses
  • Mutual Fund Breakpoints
  • Asset Allocation
  • Glossary

This is an intermediate level course.  Upon completion, students will be able to: 

  • Demonstrate an understanding of the features and benefits of mutual funds
  • Describe types of funds and fund management structures
  • Explain investment risks, fees and expenses
  • Demonstrate an understanding of taxation principles that impact mutual fund shareholders
  • Describe the fees and expenses related to management company operations
  • Explain the availability and process of breakpoint discounts for investors
  • Describe the process and benefits of asset allocation


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