Investment Vehicles and Strategies

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2.5 Credits

Do you need an introduction to investment vehicles and strategies to educate your clients on the rationale for the strategies used in their investment accounts? Examining the implementation phase of the investment planning engagement, this three-part CPE course covers:

Types of investment vehicles
Investment strategies
Investment valuation

This course addresses several types of investment strategies used by investment advisers and the rationale behind their selection, including active versus passive management, market timing, dollar cost averaging, dividend and capital gain distribution reinvestment, systematic withdrawal plans, bond laddering, and hedging strategies. The personal financial planner must stay abreast of these strategies and be able to converse about the rationale for using the selected strategies.

Further, this course looks at asset pricing theories as they relate to the value and risk of an investment portfolio, types of market analyses, and how to analyze the value of an individual stock and bond. Two asset pricing theories are analyzed in the course: the capital asset pricing model (CAPM) and the arbitrage pricing theory (APT), two of the most influential theories on asset pricing the investment adviser uses. We also delve into leveraging using margin accounts and the risks associated with this strategy, as well as strategies for concentrated portfolios. Lastly, we will also take a fresh look at IRC Section 1031 like-kind exchanges, with an emphasis on the specific tax regulations governing these transactions.


  • Recognize what is insured by the FDIC or the NCUA.
  • Calculate taxable interest on the purchase of a bond with accrued interest.
  • Determine the type of security to recommend to a client based on the client's circumstances.
  • Differentiate between active and passive portfolio management.
  • Recall when an investor should expect a margin call.
  • Differentiate among the various types of financial ratios in a financial ratio analysis.
  • Calculate the price-earnings ratio for a stock.

Major Topics

  • Types of investment vehicles
  • Investment strategies
  • Investment valuation

Designed For

CPAs and financial planners with basic knowledge of, and interest in, personal financial planning.

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