PREREQUISITE

FIN312 Investments

COURSE OBJECTIVES

To teach you the professional requirements and standards for investment professionals with securities broker-dealers.

To help you evaluate an individual’s financial needs, current investment holdings, and investment capital for purposes of translating them into personal investment objectives.

To help you evaluate information on market-traded investment securities.

To help you gain an understanding of the legal process for handling retail customer accounts and maintaining appropriate account records.

To help you understand the organization, participants, and functions of various securities markets.

To help you gain an understanding of the process of executing customer purchase and sale instructions, trade orders, and transaction confirmations.

To help you monitor a customer’s portfolio and make recommendations consistent with changes in economic and financial conditions as well as the customer’s needs and objectives.

REQUIRED READING

Bodie, Zvi, Alex Kane, Alan J. Marcus, Essentials of Investments, 4th Edition, Irwin McGraw-Hill, 2001.

Registered Representative Series 7 Study Program (volume I and II), Edward Fleur Financial Education Corp., 2001

Series 7 Classroom Workbook, Edward Fleur Financial Education Corp., 2001

Series 7 Glossary, Edward Fleur Financial Education Corp., 2001

Series 7 Chapter Exams, Edward Fleur Financial Education Corp., 2001

Series 7 Final Exams, Edward Fleur Financial Education Corp., 2001

COURSE REQUIREMENTS & GRADING:

During the term, your performance will be evaluated on the basis of graded homework assignments, in-class and out-or-class graded quizzes, two midterm exams and a final exam.

HOMEWORK and Practice Quizzes:

There will be homework and practice quiz assignments for each chapter during the term. They must be returned by the announced deadlines. Each homework assignment will be equally weighted. Late submission of assignments will be penalized.

QUIZZES:

There will be quizzes during class meeting periods. These will be short quizzes on either new material reading assignments or on material covered in previous lecture. Quizzes will be multiple choice questions. There will be no make-up for missed quizzes, but only 80% of quizzes will be used for grading purposes.

MIDTERM EXAM 1 and 2:

There will be two in-class mid-term exams during the semester. These will be time constrained exams, using multiple choice questions. There will also be a takehome portion of the mid-term exams, using essay questions and numerical problems.

FINAL EXAM

. The final exam will be given during the exam period (Monday, May 6, 2:00 -5:00 pm).

. The exam will be cumulative.

. It will be a series of multiple choice questions, based on numerical, conceptual and objective knowledge.

The following weights will be used in determining grades:

HOMEWORK 20%

QUIZZES(in class) 20%

MIDTERM EXAM 1 20%

MIDTERM EXAM 2 20%

FINAL EXAM 20%

TOTAL 100%

Date Topic Assignments Due

Reading: Homework Assignments

1/22 Tuesday Introduction Introduction Practice Questions (CBT)

Syllabus Equity's For Equities Chapter

Equity Lecture (p1 - 16)

1/24 Thursday Equity Lecture Equity's Equity Chapter quiz (CBT)

(p17 - 37) (BKM) Ch 13, P3,4,5,6,15,20

1/29 Tuesday Debt Lecture Debt Practice Questions (CBT)

(p1- 52) For Debt

___________________________________________________________________________________________

1/31 Thursday Debt Lecture Debt Practice Questions (CBT)

(p53 - 89) (BKM) Ch 10 P10,13,14,18,19,24,27

2/5 Tuesday Debt Lecture Debt Practice Questions (CBT)

(p89 - 130) For Debt

2/7 Thursday Debt Lecture Debt Practice Questions (CBT)

Debt Quiz (p131 - 142) (BKM) Ch 11, P1,2,5,6,9

2/12 Tuesday Analysis Lecture Analysis Practice Questions (CBT)

Chapter 10 (p1 - 71) (BKM) Ch 12, P3,5,6,12

2/14 Thursday Analysis Lecture Analysis Practice Questions (CBT)

Chapter 10 (p1 - 71) (BKM) Ch 14, P1 thru 9

(BKM) Ch 15, P1,2,7,8,10,13

2/19 Tuesday Option Lecture Options Practice Questions (CBT)

(p1 - 46) For Options

2/21 Thursday Option Lecture Options Practice Questions (CBT)

(p47 - 79) (BKM) Ch 16, P1,2,3,4,5

2/26 Tuesday Option Lecture Options Practice Questions (CBT)

(p79 - 94) (BKM) Ch 16, P7,8,15,20,21

2/28 Thursday Option Lecture Options Practice Questions (CBT)

(p95 - 142) For Options

3/5 Tuesday Exam I

3/7 Thursday Trading Market Basics Trading Market Practice Questions (CBT)

Lecture (p1 - 26) Trading Market

3/19 Tuesday Trading Markets Lecture Trading Market Practice Questions (CBT)

NYSE Trading (p27 - 52) For Trading Market

3/21 Thursday Trading Markets Lecture Trading Market Practice Questions

OTC Trading (p53 - 80) (BKM) Ch 3, P3,4,7,8,9,13,18

3/26 Tuesday Trading Markets Lecture Trading Market Practice Questions

1 hour Quiz (p81 - 98)

3/28 Thursday Customer Accts Lecture Customer Accts Practice Questions (CBT)

(p1 - 37) For Customer Accts

4/2 Tuesday Customer Accts Lecture Customer Accts Practice Questions (CBT)

(p38 - 74) For Customer Accts

4/4 Thursday Exam II

4/9 Tuesday New Issues Lecture New Issues Practice Questions (CBT)

(p1 - 54) For New Issues

4/11 Thursday 1 hour New Issues Quiz Investment Co. Practice Questions (CBT)

Investment Co. & Retirement For Investment Co.

& Retirement Plans Plans & Retirement Plans

Lecture (p1 - 32)

4/16 Tuesday Investment Co. Investment Co. Practice Questions (CBT)

& Retirement Plans & Retirement For Investment Co.

Lecture Plans & Retirement Plans

(p1 - 62) (BKM) Ch 4, P4,5,6,8,13,17,19

4/18 Thursday Lecture/1 hour Quiz Taxes & Tax Practice Questions (CBT)

Taxes & Tax Shelter Shelter For Taxes & Tax Shelter

Lecture (p1 - 56)

4/23 Tuesday 1 hour Taxes & Tax Regulations Practice Questions (CBT)

Shelter Quiz (p1 - 58) For Regulations

Regulations Lecture

4/25 Thursday Regulations Lecture Regulations Practice Questions (CBT)

(p59 - 112) For Regulations

4/30 Tuesday Regulations Lecture Review Practice Questions (CBT)

1 hour Regulations Quiz Regulations For Regulations

5/2 Thursday Review for Final

Wrap-up

5/6 Monday Final Exam