FINRA Education Modules

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1	Preparing to Invest
	1.	Introduction: Saving and Investing	1-1
	2.	Create a Budget-and Pay Yourself	1-5
	3.	Set Investment Goals	1-7
	4.	Establish an Emergency Fund	1-10
	5.	Choose Investments Wisely	1-12
	6.	Practice Good Habits	1-14


2	Key Investment Concepts
	1.	Introduction	2-1
	2.	Return and Rate of Return	2-2
	3.	The Risk-Return Relationship	2-5
	4.	Time and Your Portfolio	2-12
	5.	Allocating Your Portfolio	2-16
	6.	Diversifying Your Portfolio	2-21
	7.	Rebalancing Your Portfolio	2-24
	8.	Dollar Cost Averaging	2-26
	9.	Investing Tax Strategies	2-28


3	Bank Products
	1.	Introduction	3-1
	2.	Safety in Banking: FDIC Insurance	3-2
	3.	Transaction Accounts	3-4
	4.	Deposit Accounts	3-7
	5.	International Remittances	3-13
	6.	Beyond Banking	3-14


4	US Treasury Securities
	1.	Treasury Debt	4-1
	2.	Marketable Securities: Bills, Notes, and Bonds	4-2
	3.	Investment Risk	4-5
	4.	Buying and Selling Treasuries	4-8
	5.	Using Treasuries	4-11
	6.	Nonmarketable Securities: Savings Bonds	4-12


5	Common Types of Investments
	1.	Introduction	5-1
	2.	Stock	5-3
	3.	Bonds	5-17
	4.	Mutual Funds	5-26
	5.	Exchanged Traded Funds	5-37
	6.	Real Estate Investment Trusts	5-39


6	Retirement Savings Vehicles
	1.	Introduction	6-1
	2.	Individual Plans	6-3
	3.	Employer-Sponsored Plans	6-13
	4.	Small Business Plans	6-22


7	Choosing the Right Investments
	1.	Introduction	7-1
	2.	General Rules of Investing	7-2
	3.	Planning for Your Financial Goals	7-4
	4.	Investing for Short-Term Goals	7-7
	5.	Investing for Medium-Term Goals	7-8
	6.	Investing for Long-Term Goals	7-9
	7.	Your Risk Tolerance	7-13
	8.	Managing Your Portfolio	7-14
	9.	Investing in Your Twenties	7-18
	10.	Investing in Your Thirties and Forties	7-22
	11.	Investing in Your Fifties	7-24
	12.	Investing in Your Sixties and Beyond	7-26


8	Managing Investment Risk
	1.	Introduction	8-1
	2.	Why Take Risks?	8-2
	3.	Types of Investment Risk	8-3
	4.	Assessing Risk	8-7
	5.	Investing to Minimize Risk	8-13
	6.	Modern Portfolio Theory	8-17
	7.	Risk Protection	8-18


9	Evaluating Performance
	1.	Introduction	9-1
	2.	Yield	9-3
	3.	Return	9-6
	4.	Capital Gains and Losses	9-9
	5.	Tracking Performance	9-11
	6.	Reading Your Statement	9-14
	7.	Using Research	9-16


10	Investment Professionals
	1.	Introduction	10-1
	2.	Types of Investment Professionals	10-2
	3.	Choosing an Investment Professional	10-9
	4.	Checking an Investment Professional's Background	10-13
	5.	Working with an Investment Professional	10-17
	6.	Discretionary vs. Non-Discretionary Accounts	10-18


11	Safeguarding Your Investments
	1.	Introduction	11-1
	2.	Recordkeeping	11-2
	3.	Protecting Your Investments	11-5
	4.	Investor Rights and Protections	11-8
	5.	Investment Scams	11-12
	6.	Filing a Complaint	11-16

Worksheet: Retirement Worksheet: Financial Planning Worksheet: Net Worth Worksheet: Risks