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What Is An Investment Company and How It Works? Financial Risks to Consider

  An investment company can be a corporation, partnership, business trust or limited liability company (LLC) that pools money from investors on a collective basis. The money pooled is invested, and the investors share any profits and losses incurred by the company according to each investor’s interest in the company.   Investment companies are categorized into three types: closed-end-funds, mutual funds (or open-end funds) and unit investment trusts (UITs). Each of these three investment companies are registered with and regulated by the Securities and Exchange Commission (SEC) under the Investment Company Act of 1940. Mutual funds are a popular way to diversify an investment portfolio without buying individual stocks,bonds, and other securities. Funds that issue an unlimited number of shared based on investor demand are called open-end-funds, while close-end-funds issue a fixed number of shares at an initial public offering (IPO). Both funds pool investor money to inves...