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Financial
Planning
General Retirement Planning
What you are making right now, today may be enough
for the present. However, you'll need to plan ahead
for a secure retirement and the ability to maintain
your lifestyle. First, you need to determine your
financial goals -- that is, how much do you need after
your retire? Once you've determined that - how should
you invest to meet those goals? The possibilities are
practically endless so close examination of your
options is essential. Here are a few items to
consider. Passbook Savings: Most people are familiar
with this. They are insured by the federal government,
have set interest rates, usually require no minimum
deposit and can be added to and withdrawn from
whenever you want. Certificates of Deposit or CD's
come in various amounts and vary from one week to two
years. They usually pay high interest rates however,
there is penalty for early withdrawals. Individual
Retirement Accounts or IRAs, vary on minimum deposit
requirements; have maximum limits and in some cases,
you can deduct deposit amounts from taxable income.
Mutual Fund accounts allow flexibility but you'll need
to determine your income growth needs in order to
choose the right type for you. Bond Funds let you buy
a diversified portfolio of bonds with varying deposit
and maturity requirements. Stock Funds let you
diversity your stock holdings, have minimum investment
requirements and respond according to the stock market
price changes. Treasury Bills are available in $10,000
increments for six month periods and are not subject
to state and local income taxes. Take care in choosing
your investment avenue. And the best way to begin, is
to seek out professional assistance.
Retirement Income Providers
What will be your source of income once you retire?
Will it be employer funded retirement plans, social
security or individual retirement or IRA plans? In
reality, it's best to plan on income from at least two
if not all three of these sources to help ensure a
secure retirement. Employer funded retirement plans
usually consist of pension plans, profit-sharing or a
combination of both. Pension plans typically include
employee eligibility qualifications and guarantee a
certain income upon retirement. Profit-sharing plans
are different by the fact that the employer's
contribution to this plan is determined upon its
profits. Social security the retirement plan provided
by the government. Social security provides monthly
payments to qualified persons. These funds have been
made available through contributions made by both the
employee and employer by paying social security taxes.
Individual retirement plans or IRAs allow you to make
annual contributions to the plan. These funds come
from your salary, wages or self-employment income --
alimony can also be used. An IRA shelters your
contributions from current income taxes. Contributions
need to be made each year by your tax-filling due date
and there is substantial penalty for early withdrawal.
Take care in choosing your investments and remember
that it's best to seek out professional advice when it
comes to planning your retirement.
How Much is Enough for Retirement
There is no set amount. Each person needs to decide
for themselves how much will be enough. First, decide
on how much you'll need to live on. Take into account
what current costs are for housing, food, clothing,
transportation, travel, entertainment, etc. You'll
need to make an "educated" guess on what those costs
may be in the future -- when you retire. Your life
will not be the same at that time. You'll probably
need less. For example: Your mortgage will more than
likely be paid off, so your housing expense will be
reduced. You may not need two cars anymore; your
clothing expenses may go down if you're not having to
dress up for work. Do you plan to travel during
retirement? If so, your travel expenses may go up.
You'll want to project at least a 4% a year increase
on cost for these expenses to account for inflation.
Once you've figured your expenses, you'll need to
project your income during retirement. Use the Rule of
72 to help you determine the growth of your portfolio.
Divide whatever a conservative guest of your interest
return per year. For example: 10% per year. Then
divide 72 by 10. 7.2 is how long it will take to
double your money. The only problem is that you don't
know how long you'll live. The longer you live, the
more money you need to estimate beyond what you expect
your lifespan will be. Take care in choosing your
investments and remember that it's best to seek out
professional advice when it comes to planning your
retirement.
Getting Financial Aid From Your
College
Assistance programs sponsored and administered by
colleges and universities are an important source of
financial aid. College-sponsored aid comes from two
main sources: tuition revenues and contributions from
private donors. Some scholarships and grants are based
on demonstrated need. Others are awarded based on
various pre-determined criteria other than or included
with need, such as academic performance, field of
study, special talents or abilities. Many campuses
also offer student employment programs to help
supplement finances through the Federal Work Study
Program. Many times, these employment opportunities
are offered based on skills, not necessarily on
financial need. For example: Laboratory assistants,
business office aide or dorm advisor. Short term and
emergency loans are typically available to all
students. Repayment however is usually made during the
academic year with low interest or no interest. Since
qualifications and requirements vary greatly, it's
best for your to get information directly from the
college being considered.
What is EFC
EFC means "expected family contribution". It's a
financial term which describes what students and/or
their parents expect to contribute towards college
education. Planning in advance is especially important
when you already know that affording college may pose
a financial burden. When being considered for
financial aid, there are formulas that are used to
determine your EFC. The reason for the formulas is to
estimate what is expected of you based on other
families with similar financial circumstances and what
the proportions will be from families that have
stronger or weaker financial circumstances. EFC also
relates to financial aid eligibility. The EFC amount
is subtracted from the cost of attendance at a
particular college which results in your "demonstrated
financial need". Your EFC won't change from college to
college, but the determined "need" will vary based on
the cost of the chosen college. In other words, your
determined financial need may be greater at a higher
priced college and lower at a lower priced college.
So, what is the best way to meet your EFC? Start
saving early, or borrow it all when the time comes.
You can even save some and borrow some. But the key is
to have a plan on how you want to handle it.
What Types and Sources of Financial
Aid is Available
Many types of financial aid programs available.
Here are some of the most common: Grant or
scholarships are aid that does not have to be repaid.
Loans must be repaid but typically carry low interest
rates. Repayment usually begins after you graduate or
leave college. Student employment is a program where
the college finds you work or you find it yourself and
is funded through a financial aid program. Sources of
financial aid include but are not limited to the
following: Institutional Funding is usually available
directly from the college. Many have their own
scholarships and grants plus loan and work programs.
These are usually funded through endowments and
planned budgets. Federal financial programs may
include campus based aid, federal pell grants, federal
stafford loans, and federal parent loans for
undergraduate students. Most states also have programs
that offer scholarships and grants. Ask your guidance
counselor for assistance. You may also find funding
available through your local community and community
groups such as community agencies, foundations,
corporations, unions, religious organizations, clubs,
civic, cultural and fraternal groups. Again, your
guidance counselor can assist you. You may end up with
one or a wide combination of these financial aid
programs so don't let the cost of a particular college
deter you. You can probably afford to go where you
want if you fully explore your financial aid options.
Bankruptcy
What is Chapter 7
Chapter 7 bankruptcy, also known as liquidation
bankruptcy, allows the debtor to free himself of all
of his debts except certain types of debts, which are
non-dischargeable. Examples of non-dischargeable debts
are certain student loans and certain taxes. The
Chapter 7 alternative is often used when the debtor
does not have a regular source of income, is
unemployed, or is otherwise unable to make even a
partial payment of his debts. In filing a Chapter 7
proceeding, some of your assets, known as exempt
assets will be protected. However, not all assets are
protected as they are under a Chapter 13 plan. Chapter
7 proceedings also stop repossessions, garnishments,
and foreclosures as do Chapter 13 proceedings.
However, Chapter 7 does not offer extended time to
repay these debts as does Chapter 13. If the creditor
does wish to pursue a foreclosure or repossession
after a Chapter 7 is filed, they will have to get
permission from the court to do so.
What is Chapter 13
Simply put, Chapter 13 is a method by which you pay
your creditors in a one monthly payment that you can
afford. The key element in Chapter 13 plans, is that
the Chapter 13 payment is determined by what you can
afford to pay, not by what your creditors want you to
pay. Your payment is based on your income, your
expenses, and other factors relevant to the plan. One
of the most beneficial aspects of Chapter 13 is that
it can stop foreclosures and garnishments. It will
also stop repossessions if you are behind in your car
or furniture payments. It gives you an opportunity to
pay your mortgage delinquencies and car delinquencies
over time, rather than having to pay a large lump sum
to bring these payments current. In most cases, a
Chapter 13 will stop interest on your credit cards and
may allow you to pay only a portion of your credit
card debt. Also, creditors are forbidden to contact
you once they receive notice of your filing. Your
particular plan will be unique to your circumstances.
It is important to seek the help of an experienced
Chapter 13 attorney to assist you in filing a plan
which is most beneficial and appropriate to your
needs.
Protecting Your Assets and Creditor
Harassment
In filing a chapter seven proceeding, some of your
assets such as homes, cars, furnishings, and bank
accounts will be protected, but some of your assets
may not be protected. In a Chapter 13 proceeding, all
of your assets are absolutely protected. Your car and
home cannot be taken from you; your savings account
cannot be taken; and if you have paid up insurance
policies they cannot be taken. All of your assets are
fully protected under a Chapter 13 proceeding. Once
you have filed your Chapter 7 or Chapter 13
proceeding, creditors are not allowed to contact you.
If they wish to communicate with you, they must do so
through your attorney or through the court. Harassment
by creditors may cease once your case has been filed.
Paying Taxes, Student Loans, Home
and Vehicle Arrearage
Through Chapter 13 Taxes, student loans, home
delinquencies, and vehicle delinquencies will be paid
through your Chapter 13 plan. Actually, virtually all
of your debts will be paid through your Chapter 13
plan except future home payments which are due after
you file the plan. Remember, delinquencies, or prior
home payments including all those due before filing
the plan will be included in your normal monthly plan
payment. Handling your taxes, student loans, home
arrearage, and vehicle arrearage, along with all of
your debts through a Chapter 13 plan, will allow you
to pay these debts over time at payment based on your
ability to pay without the threat of garnishments,
repossessions, or foreclosures, or creditor
harassment.
Future Credit
A common concern of persons considering bankruptcy
is the effect a bankruptcy will have on their credit.
Often, that is not an important factor, because the
unpaid debts and collection proceedings have already
marked you as a bad credit risk. Surprisingly,
sometimes a bankruptcy actually improves the person's
credit because bankruptcy will remove most lawsuits,
most collection agencies, most past due unsecured
debts, and it can allow restructuring of secured
debts, and non-dischargeable debts such as past due
child support and taxes. Future creditors are most
concerned about a person's capability to repay any
future debt. By eliminating lawsuits, collections, and
unsecured debts though bankruptcy, and using
bankruptcy to restructure and stretch out to the
extent possible, secured or non-dischargeable debts -
the future credit of a bankrupt person can actually
improve. In short, bankruptcy may not ruin your
opportunity to obtain future credit. Bankruptcy is not
a matter that should be taken lightly, and should not
necessarily be used if other and better alternatives
are available. A bankruptcy professional can help you
determine what options may be available to you, and
how best to protect and enhance you future credit,
should you choose to file bankruptcy.
Banking Services
Totally Free Checking
Are you tired of paying fees each month for your
checking account? Is it a burden for you to keep a
high minimum balance in your checking account just to
avoid paying those monthly fees? Do you just want a
basic, hassle-free checking account that doesn't cost
you money each month? If the answer to these questions
is "yes", then a totally free checking account may be
just what you're looking for. A totally free checking
account is one in which there are no maintenance or
activity fees associated with the account. There is no
minimum balance requirement, no monthly fees, and no
per check charges. A totally free checking account
usually does not pay interest. People who do not plan
to keep high balances in their checking accounts find
that the minimal amount of interest they would earn in
an interest bearing account usually does not offset
the service charges they would incur. A totally free
checking account is perfect for college students and
young adults with basic checking needs. Totally free
checking can be just right for anyone who wants a
hassle-free, no-fee checking account.
Supermarket Banking
Sure, you can find an ATM machine at almost any
supermarket. But, if you do business with a bank that
knows how to keep up with the pace in our
fast-changing world, they can handle all of your
banking needs at one of their many convenient,
full-service, Supermarket branches. Most of us have to
make one or more trips to the supermarket during the
week anyway, so why not save yourself time and fuel,
and do your banking at the same time. And those old
complaints about "Banker's Hours" don't really hold
water any more. That's because supermarket banking
offices are open on weekdays, Saturdays. and even on
Sundays, so you can perform any of the banking
operations that you would normally take care of at the
local branch, right there at a local supermarket! Of
course, if you do your shopping and banking on
Saturday or Sunday, any transaction that you make will
be posted the next regular business day. So stop going
out of your way to take care of your banking business,
and choose a bank that makes it their business to care
about you!
ATM Banking
The world is a very different place now than it was
when the first bank opened its doors to the public.
Often, with the hectic schedules people keep today,
they are just too busy to stop what they are doing and
go stand in line at the bank to withdraw money.
Merchants are becoming more and more reluctant to
accept checks for the purchase of merchandise, let
alone cash a check so you can have pocket money. So
what are you to do? Join the countless others who take
advantage of the technical advances at our disposal
today and use ATM banking. An ATM, or Automated Teller
Machine, is a convenient, quick, and easy way to do
your business transactions at any time of the day or
night. You can make deposits, withdrawals, transfer
funds, make loan payments, any time you like, anywhere
you like. Some ATM's even print up a statement for
your records. With over 6,500 ATM sites around the
world, convenience is just a few steps away.
Direct Deposit - Convenience and
Security
When most individuals hear the words direct
deposit, they immediately think of social security
payments. But there is an ever increasing number of
people who have a multitude of other payments made
directly to their bank. If you're a busy working
mother who has no time to go to the bank, payroll
deposit may be the answer to give you more free time.
If you're a retiree with no demands on your time,
direct deposit may still make sense because you don't
have to worry about your retirement check being
misplaced or stolen. Before you enter any direct
deposit program, check with your bank. They can make
sure your account is set up correctly from the start
and your checks will be there when you need them.
Bank-By-Phone
Most of us don't relish the idea of fighting the
traffic to get to the bank. Sometimes, technology can
be a wonderful thing. If you have a touch tone phone
in your home and an ATM card, you may never need to go
to the bank again. With the bank-by-phone service
offered by many banks today, you've already got
everything you need to check your bank balance or
account activity right there, from the comfort of your
home. You can transfer funds between different
accounts or possibly set up an automatic payment plan
to handle your monthly mortgage or car loan payments.
All of this - seven days a week, 24 hours a day. For
those of you who enjoy using a personal computer, some
banks even have systems that allow for banking via
modem. So take advantage of the state of art in
banking today.
Checking Accounts
If you're in the market for a checking account,
there are several factors that you should consider,
such as minimum balance requirements and transaction
limitations. There are three types of minimum balance
requirements associated with a checking account.
First, a minimum balance will be required to open a
checking account. At most banks, a checking account
can be opened for as little as $25. Second, there will
be a minimum balance required to be on deposit in
order to avoid a monthly service fee. Third, there
will be a minimum balance required to be on deposit in
order to earn interest. Some institutions limit the
number of checks that may be written per month without
a fee, and begin to charge a fee for each check
thereafter.
Money Market
Accounts
Money Market Accounts are savings accounts that
have features similar to checking accounts. The
interest rate can increase depending on the balance
kept in the account. For customers who do not write
more than three checks per month, and want the best
return for their money, a Money Market Account may be
the way to go.
Savings Accounts
If you are in the market for a savings account,
there are several factors that you should consider,
such as minimum balance requirements and transaction
limitations. There are three types of minimum balance
requirements associated with a savings account. First,
a minimum balance will be required to open a savings
account. At most banks, a savings account can be
opened for as little as $25. Second, there will be a
minimum balance required to be on deposit in order to
avoid a monthly service fee. Third, there will be a
minimum balance required to be on deposit in order to
earn interest. Savings Accounts are subject to certain
transaction limitations depending on the type of
transaction.
Passbook Savings Accounts
For years, banks and savings institutions offered
the passbook savings account. Many generations grew up
with using the passbook as their only savings vehicle.
The introduction of new technology to the banking
industry offered other ways to set up savings accounts
and slowly but surely, many institutions abandoned the
passbook. Today, there are still many people who
prefer having their deposits and withdrawals recorded
in a passbook. It's a great way to teach a child to
save since they can see their balance increase each
time they make a deposit. Those institutions that have
kept passbooks have used the advances in technology to
make the account more convenient. Simpler interest
postings and "no book" transactions are now possible.
CPA (Certified Public Accountant)
What is a CPA
A CPA, or Certified Public Accountant is licensed
by the state to provide various financial and business
advisory services. It means the individual has passed
a rigorous twenty hour examination on accounting
theory, accounting practice, taxation, auditing and
business law. In most states, the CPA is also required
to an examination on accounting and business ethics.
But what does that mean to you - the business owner or
manager? It means your CPA is uniquely qualified to
assist you, as your business partner, with the diverse
and complex issues you face today and will face
tomorrow. These issues can range from typical
financial statement and tax return preparation, to
cash flow management and analysis, internal control
systems development and analysis, business planning,
"turn-around" program development, budgeting systems
development and implementation, and accounts
receivable and credit management. These are but a few
of the services an experienced and qualified CPA can
provide you and your company. In today's complex
business environment, business owners and managers
must wear many hats to deal with the diverse issues
facing them. They must weave their way through a maze
of questions and problems using whatever expertise is
available to them. Because of limited resources, you
are unable to employ those individuals possessing the
required expertise and for these reasons, need to seek
out those in the business community uniquely qualified
to provide the required expertise.
Tips for Having Your Bookkeeping
Done by Professionals
Many small businesses started doing their own
bookkeeping when micro computers became economical and
accounting software became inexpensive and effective.
For some, this has been a worthwhile experience. They
have reduced costs and improved their understanding of
the business; they are more aware of the impact that a
transaction will have on net income. For others, the
experience has been a nightmare of having to learn how
to do bookkeeping, how to reconcile a bank, having to
upgrade computers that are not used except
periodically, having to buy and install software
upgrades, etc. Generally, the time involved with
bookkeeping has been costly and frustrating,
particularly because of the time it took the business
person away from performing those tasks that they were
good at and enjoyed, and which were the reasons for
going into business. These are the tasks that make the
business profitable.
Become More Effective and
Profitable
Do a cost benefit analysis. How much time does it
take you to do your books? How much does this save you
in monthly bookkeeping fees? If you used the same time
doing what you are good at, and what you enjoy, how
much revenue and gross profit could you earn? If you
are saving $500 a month doing your own books,
something you don't enjoy, but are giving up $1000 a
month of gross profit, get effective and have your
books done by a professional. If you don't have time
to do your books, or doing your books frustrates you,
have your books done by a professional. Providing your
books to your accountant each month gives you an
opportunity to discuss your business with someone.
Sometimes all that is required is to talk about a
problem and you come up with the solution.
Tips for New Small
Businesses
Design an extensive chart of accounts that is
responsive to the business you are in. Make sure you
have an account for each type of expense; don't
combine one class of expense with another, or you
won't know what you have spend on each. If you can't
do your own books properly, or you can use your time
more effectively generating revenue, let someone else
do your bookkeeping. Review your financial statements
each month to make sure you are making money or use
the information in the statements to make changes so
that you can be profitable. Prepare a forecast before
you start business. You can revise it at any time; you
don't have to wait until your first year end. We
suggest that you regularly forecast the results for
the next 12 months. Reconcile you bank balance as soon
as you receive the bank statement. Keep a running bank
balance. You don't do this because the bank might make
a mistake, but to force yourself to know what is going
on in your own business. Considering the power of
computers and the excellent bookkeeping software
available at low prices, it is probably a mistake to
do your bookkeeping manually. If you are concerned
about using a computer, consider having someone else
do your bookkeeping. Cash: Don't mix cash receipts
with cash expenses. Deposit cash receipts intact each
day. Learn to use an imprest petty cash fund. It will
save you a lot of problems. Follow up on past due
accounts promptly. It's your money. Suppliers: Don't
buy merchandise or have work done for cash deals at
substantial discounts. You have no recourse to the
supplier. Also, it would be too expensive if you can't
deduct the expense for tax purposes. File unpaid bills
alphabetically in an accordion binder (until you get
too big for this system). Pay your bills twice a month
and only pay based on an invoice. Paying bills
promptly avoids receiving a statement from your
supplier with the risk that the statement will be paid
too. Stamp and initial your bills after you pay them
so that if you are looking at them again, you will
know they have been paid. If you have cash available,
pay promptly to earn cash discounts. Scan suppliers
invoices for reasonableness. There could be mistakes
but our experience is that suppliers seldom make
mistakes; any mistakes made are obvious. But there
could be industries where you have to audit most
invoices. Payroll: Make sure you understand payroll
preparation and reporting of benefits. If you don't
report and deduct properly, you may get stuck with
paying deductions that should have been paid by the
employees. Filing: This is one area that you can waste
a lot of time on if you don't set up a filing system
as soon as, or before you start. The wasted time comes
later when you try to find something. Write down where
documents are to be filed, how long they are to be
kept, and what determines current, old and dead.
Investments
Money Market
Today's money market works much like a store in
that it offers many different types of money instead
of durable goods. The products offered in the money
market trade quickly, change daily, and work to meet
the demands of the specialized consumer concerns. The
primary types of money offered on the market are CD's
- certificates of deposit, commercial paper, or
short-term unsecured debt, municipal securities, or
securities issued by local government, and finally,
your treasury securities, or Federal T-bills, notes
and bonds. Financial brokers and dealers search high
and low to meet the needs of consumers and lenders.
Money lent on the market is from many different
sources and gets repositioned to a broad spectrum of
users. However, most transactions don't even involve
cash. Instead, the financial wizards make paper deals.
Funds are transferred on the books, not in actuality.
Please check with your local bank or personal
financial advisor for specifics regarding banking
matters.
Mutual Funds
Mutual funds work on the premise that you can get a
better return on an investment if you pool small
deposits together, thereby creating a large fund to
invest in bigger markets. This allows smaller
investors to compete with the big boys. Most mutual
funds that the smaller investor deals in are actually
part of a larger organization that owns and manages a
variety of mutual fund offerings. Each fund usually
invests in specific and limited market activity. You
should exercise caution when dabbling in mutual funds.
Place your money only where you feel comfortable with
the degree of risk. Make extensive inquiries before
you invest. When determining the amount of risk
involved, keep in mind this simple rule of thumb: The
higher the interest, the higher the risk. Please check
with your local bank or personal financial advisor for
specifics regarding banking matters.
IRA
On of the great strengths of an IRA is that it can
fit the needs of people with different investment
priorities. The IRA is just an account. It can hod any
type of investment. Your choices include CD's, savings
accounts, treasury issues, bonds, different types of
mutual bonds, annuities and individual stocks. If you
are in your early to mid working years, you can
probably afford a greater degree of risk than an older
worker. For example: you might consider a
well-regarded growth mutual stock fund, but if you are
close to retirement, safety takes on more importance
because you won't have time to recover from losses
before you start making withdrawals. You should
probably be considering government backed securities
or mutual funds that purchase them. And, you may wish
to have some of your funds in CD's. Another flexible
feature about IRAs is that you can change the
investment mix as you draw nearer to retirement.
Growing Your IRA
Whatever your age or income, to make the most of
your IRAs, start now and keep at it. Investing now
gets your investment working for your right away.
Investing regularly contributes to regular growth.
Another tip on making the most of your IRA is to make
your investment close to the start of each year rather
than waiting until later in the year, or until just
before the tax return deadline in April. That way,
your tax deferred contribution will be increasing in
value for as much as an extra 15 and ½ months. As time
goes on, keep an eye on alternative IRA investments.
It's wise to monitor your IRAs constantly instead of
just putting away money and forgetting about it. Keep
abreast of the changes occurring in financial markets
and adjust your IRA investments accordingly.
IRAs - Men vs Women
Women and men are treated the same when it comes to
IRAs. You can contribute earned income up to $2000 per
year to your IRA and obtain tax and assessment
benefits. If you happen to be receiving alimony, it's
considered earned income for IRA purposes. An IRA
program is especially appropriate for many single
women. If you stay single, an IRA gives you the same
opportunity all other workers have of sheltering some
income from taxation each year, and give you the money
to build your own source of retirement income. If you
marry and quit your job, you'll have at least one
source of retirement income of your own rather than
having to depend on decisions your husband might make,
or on other forces beyond your control. When there's a
non-working spouse, the couple can set up two IRAs.
The total annual contribution is $2250, which can be
divided among the accounts in any ratio desired.
Mutual Funds
When it comes to investing, mutual funds can
simplify your life. What you get from a mutual fund at
a relatively low cost is professional management of
your money by people who devote their full time
attention to investment decisions. The mechanics of
mutual funds make them easy to use. With small
investments, they relieve you of the exacting,
time-consuming chore of researching and assessing the
outlook for companies whose securities you might buy.
And, you get a portfolio that usually consists of 50
or 60 securities. This diversification offers some
protection against risk. Once your money is invested,
you receive dividends quarterly and capital gains
annually, if the funds has earned either. Almost all
funds offer to reinvest your earnings automatically
purchasing additional shares, and all funds sends a
periodic statement of holdings. You can also use
mutual funds for individual retirement accounts and
KEOUGH plans.
Mutual Funds - Mix and Match
You can buy mutual funds made up of stocks, bonds,
government securities and many other investments. You
can buy mutual funds to suit your investing style
whether or not you are willing to take a lot of risk,
very little or something in between. There are many
types, and you should examine the part of the
prospectus devoted to "objective of the fund" to learn
more about any fund you are considering. Growth funds
buy and sell stocks to increase the value of the
fund's portfolio. Long-term growth funds aim for
steady increases in share values. Aggressive growth
funds strive for maximum profits and take higher
risks. Income funds primarily invest in bonds,
although they sometimes own stocks as well. They're
primarily seeking good dividends. Income and growth
funds combine the two objectives. International funds
invest in foreign securities, and global combine
foreign and domestic investments. There are sector
funds which specialize in stocks of one industrial
sector, precious metal funds, and index funds which
mirror the market as a whole.
Choosing Specific Funds
Once you've decided on the categories of funds you
want in your portfolio, it's time to choose specific
funds. Always consider fees and charges. If you buy
through a broker, you pay a load. That means a sales
commission, usually up front but sometimes at the time
of sale. Although investment experts often recommend
no-load funds, buying load funds can make sense if you
prefer to have a broker making investment
recommendations. Some funds sold through brokers don't
have a load fee, but have what's called a 12B1(twelve
B one) fee. It's an annual marketing fee so if you
hold the fund long enough, it can actually cost more
than a one-time load. All funds have management and
expense fees. Up to a percent and a half per year is
customary. Sometimes there are exit fees that decrease
over time. Next, you should look at performance. Not
just from the recent past but look at five and ten
year performance. The best funds hold their own
against the competition, even when there's a setback
in the market. That's when good professional
management really counts. There are magazines that
publish these performance ratings.
Financial Planners
Financial planners are a new type of financial
institution that's emerged in recent years, and with
their swift rise in the profession, have come an
equally swift rise in abuse. Laws governing financial
planners vary from state to state. Virtually anyone
can call himself a financial planner with our without
credentials, education or scruples. Luckily, more and
more universities are offering programs in financial
planning. The Institute of Certified Financial
Planners based in Denver offers a course leading to a
certified financial planner designation. Still, it's
up to you, the consumer, to research the education and
licensure of any financial planner you may choose.
Look at education, licensure, and ask to speak to
other clients. A good financial planner will welcome
you to look at his or her background. A bad one may
not. Choose a financial planner with care.
Treasury Bills
The treasury bills is one of the most popular forms
of government investments. They can be effective tools
for the larger investor who wants a short term
opportunity. T-bills are usually issued in multiples
of $5000 with a minimum of $10,000. They are
short-term investment issues in terms of three months,
six months and a year. T-bills are sold in a weekly
auction by the federal government and then can be sold
on a secondary market. Here's an example of a T-bill
transaction: An investor buys a year-long T-bill for
$10,000 at a five percent discount. The purchase price
would be $9,500. The value at maturity will be
$10,000. Many investors, however, turn to the
secondary market to get a better price prior to
maturity. If you're willing to outlay a large amount
at purchase time, T-bills provide excellent liquidity.
Talk to an expert to see if T-bills are a wise
investment for you.
Bond Ratings
Turn to the financial pages of any newspaper and
you will probably notice the listings of various
bonds. They can, at times seem like hieroglyphics to
the beginning investor. Yet they are actually simple
and easy to use rating services which help you find
out a bond's reliability. Two of the most commonly
used are Moody's, and Standard and Poors. These
services will examine the bond's past financial
performance, financial condition, nature of the
issuer's business and backing for the issue, among
other considerations. Their service will then issue a
rateing. Triple A is the best. In fact, any issue that
is rated Triple A, Double A or Single A, is considered
of high grade. A series of B ratings single an issue
of average quality, while C series is used to rate
bonds of poor quality. Other services follow along the
same lines. Be sure to check with your financial
advisor to an issue's rating before making any bond
purchase. Securities are not FDIC insured, have no
financial institution guarantee and may loose value.
Bonds
Bonds are issued by corporations, municipalities,
agencies and the U.S. government to raise money. When
you purchase a bond, you are actually making a loan to
the issuer. That issuer then promises to pay you a
specified interest rate and to return the face value
of the bond at maturity. Usually, the more risk
associated with the issuer, the higher the interest
rate it must pay on its bonds to sell them. In
addition, the longer the maturity of a bond, generally
the higher the interest rate it will pay. U.S.
Treasury and other government obligations are
considered to be the safest investment available.
Treasury bills mature in one year or less. Treasury
notes mature in two to ten years and Treasury bonds
mature in ten years or longer. Treasury zero coupon
bonds mature in one to thirty years. Treasury issues
represent excellent values in today's fixed-income
market. All are liquid investments, meaning they can
be sold before maturity. Federal agency notes and
bonds are issued for various periods of time and are
somewhat less liquid than U.S. Treasury obligations.
They yield is usually slightly higher than U.S.
Treasury issues. Corporate bonds are issued by
corporations to raise capital. They generally pay the
highest rates available on fixed-income securities. Of
course, you bond is only as secure as the company that
issues it. The lower the credit rating of the
corporation, the higher the interest the corporation
will have to pay its bondholders. If you sell any bond
prior to maturity, it could be worth more or less than
you paid for it.
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