Equity Investing Essentials (1.5 hrs)

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Course Description


Equity Investing Essentials

This course describes the various equity vehicles that are available, from the purchase of individual stocks to investing in a limited partnership.  Investment approaches for common stocks as well as the analytical tools and definitions used in evaluating them are covered.  The risks faced and indexes that may be used in choosing the investment portfolio are included.  Topics such as diversification of the portfolio, market timing, portfolio design, and do-it-yourself investing versus using a financial advisor are discussed.

Course Information

This course is included in our MEGA CPE Unlimited Bundle

Course No. A001
Format: Online pdf (36 pages). Printed book available.
Author: Walter G. Austin
Prerequisites: None
Advance Preparation: None
Level: Basic
CPE Credit: 1.5 hrs.
Field of Study: Finance
Course expiration:  You have one year from date of purchase to complete the course.
Course Revision Date: January 2022


After studying this course, you should be able to:

  • Recognize the main equity investment vehicles that are available to be included in your portfolio.
  • Identify different investment approaches used in equity selection.
  • Recall the decisions to be made in determining your specific portfolio and the management of it over time.
  • Recognize the risks faced and measurement tools used in the decision-making process. (Unit Two)

Course Contents:

1.1. Overview
1.2. Nature of Common Stocks
1.3. Kinds of Companies
1.4. Investment Approaches for Common Stocks
1.5. Analytical Tools for Common Stocks
1.6. Definitions:
1. There are normally back-end loads up to ten years – be careful what you pay.
2. There is a 10 percent tax penalty if any funds are taken out before age 59.5.
3. There are normally higher expenses. However, this should be offset by the opportunities given the portfolio managers mentioned above.
4. One Variable Annuity Insurance Company funds earned a larger return for all of their funds combined in 2015 after all expenses, than the same managers’ mutual funds.
1.7. Mutual Funds
1.8. Personal Money Manager
1.9. Variable annuities
1.10. Variable life as an investment vehicle
1.11. Direct Participation Programs (Limited Partnerships)
1.12. Real Estate – Direct Ownership
1.13. Real Estate – Other Ownership
1.14. Other Equity Programs

2. Decision Making
2.1. Overview
2.1. Some Investment Risks
2.2. An Investment Approach to Risks
2.3. Choosing the Investment Portfolio
2.4. Diversification
2.5. Asset Allocation
2.6. Market Timing
2.7. Market Indexes 25
2.8. Use an Advisor or Do-it-yourself
2.9. Portfolio Design
2.10. Portfolio Rebalancing


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