FINRA Compliance Unit Investment Trusts (Interactive)

Unit Investment Trusts (Interactive)

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2 


Unit Investment Trusts is designed to provide financial professionals with an understanding of the various types of investment companies. It also explains the goals of The 1940 Investment Company Act and the regulatory role of the SEC over the securities industry. To achieve this, the module explains in detail the characteristics of a variety of unit investment trusts, or UITs. Finally, it provides a discussion of the many benefits of investing in UITs along with their associated investment risks.


Course Objectives

Upon completion of the course, the student will be able to:
- Summarize the history of The 1940 Investment Company Act.
- Name the basic types of investment companies.
- Discuss how a face amount certificate company works.
- Distinguish between a closed-end management company and a corporation.
- Explain the mutual fund, or open-end management company structure.
- Discuss the characteristics of unit investment trusts, or UITs.


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