FI 417 Investment Analysis & Management
S2J 2010 PV
Kao, Robert, Ph.D.
Visiting Assistant Professor of Finance
Tuesday or Thursday 9:30-12:30 or by appointment
5:30 - 9:50 PM
All students should enrolled in this class should have taken FI 360.
Fundamentals of Investments, 5th Edition by Bradford D. Jordan and Thomas W. Miller, McGrow-Hill, ISBN #9780073382357
Textbooks can be purchased through the MBS bookstore
Textbooks can be purchased through the Parkville Bookstore
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· Establish a classroom where ideas can be shared, students can be challenged in areas of topic learning and real knowledge can be exchanged.
· Create an interactive environment which is based on lectures, readings, quizzes, dialogues, examinations, assignments, websites, and topic-related writings.
· Motivate the class with available on-campus seminars and/or hands-on experiences that would support student learning.
Learning Outcomes: Core Learning Outcomes
Your grade will be determined solely by the components listed above. All exams are in-class, closed-book. They cover material from lectures, assigned readings, and homework assignments. Exams will strive to test comprehension and not merely memorization skills.
Grades will be based on the student’s performance on three in-class tests, homework assignments, and portfolio investment report based on Stock-Trak simulation. Your overall score in the course will be determined mechanically as the weighted average of the five component scores.
Test 1 (covering module 1): 20%
Test 2 (covering module 2): 20%
Final (comprehensive): 20%
Homework Assignments: 10%
Portfolio Investment Report: 30%
A = 90-100%
B = 80-89%
C = 70-79%
D = 60-69%
F = < 60%
The course grade for students will be based on the overall average of homework and tests taken during the course in accordance with the weighting of the various requirements as stated in the syllabus.
All final exams in all School of Business courses will be comprehensive and will be closed book and closed notes. They will constitute 30% of the total course grade and will not be a take-home exam. They will be completed during the test week in the period designated by the registrar or by the Proctor in the case online courses. If calculators are allowed, they will not be multifunctional electronic devices that include features such as: phones, cameras, instant messaging, pagers, and so forth. Electronic Computers will not be allowed on final exams unless an exception is made by the Dean of the School of Business.
Classroom Rules of Conduct: Use of cell phones, pagers, iPOD, or other electronic device is strictly prohibited from class. Should a student be expecting some sort of emergency phone call (IE baby, child, parent illness), it is the student's responsibility to leave the class to take a call. With exception to the above listed examples, all phones should be turned off prior to class beginning.
Chapter and Subject
Chapter 1: Investment Background, Risk and Return Characteristics
Q&P: 1, 3, 6, 9, 14, 16, 19
Chapter 2: Financial Instruments, Margin and Short Sell Constraints
Q&P: 2, 3, 7, 9, 12, 15, 22, 24
Chapter 3: Overview of Securities
Q&P: 1, 3, 5, 6, 7, 11, 13, 16, 20
Chapter 4: Mutual Funds and Other Investment Companies
Q&P: 2, 3, 5, 8, 10, 11, 12, 16, 19
Chapter 11: Diversification and Efficient Frontier
Q&P: 3, 6, 7, 9, 10, 11, 12, 14
Chapter 12: Returns, Risks, and Introduction to CAPM
Q&P: 2, 3, 5, 6, 7, 9, 15, 21
Chapter 7: Market Efficiency
Chapter 8: Behavioral Finance
Q&P: 1-4, 6, 7, 9, 10
Chapters: 7, 8, 11, 12
Chapter 5&6: Equity Valuation
Ch. 5 (Q&P: 1, 3-8); Ch. 6 (Q&P: 1, 3, 5, 6, 8, 10, 12)
Chapter 9&10: Interest Rates, Bond Prices and Yields
Ch. 9 (Q&P: 2, 4, 5, 7, 9); Ch.10 (Q&P: 1, 2, 5, 7, 9)
Chapter 16: Introduction to Options and Options Valuation
Q&P: 1, 4, 6, 9, 11
Chapter 14: Futures Contracts
Q&P: 1, 2, 3, 6, 8, 9
May 3, 5:30-9:50
*The instructor reserves the right to adjust the course schedule to take into consideration of the class progress and unforeseen circumstances.
Academic Honesty:Academic integrity is the foundation of the academic community. Because each student has the primary responsibility for being academically honest, students are advised to read and understand all sections of this policy relating to standards of conduct and academic life. Park University 2009-2010 Undergraduate Catalog Page 92
Plagiarism:Plagiarism involves the use of quotations without quotation marks, the use of quotations without indication of the source, the use of another's idea without acknowledging the source, the submission of a paper, laboratory report, project, or class assignment (any portion of such) prepared by another person, or incorrect paraphrasing. Park University 2009-2010 Undergraduate Catalog Page 92
Attendance Policy:Instructors are required to maintain attendance records and to report absences via the online attendance reporting system.
Park University 2009-2010 Undergraduate Catalog Page 95
Disability Guidelines:Park University is committed to meeting the needs of all students that meet the criteria for special assistance. These guidelines are designed to supply directions to students concerning the information necessary to accomplish this goal. It is Park University's policy to comply fully with federal and state law, including Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act of 1990, regarding students with disabilities. In the case of any inconsistency between these guidelines and federal and/or state law, the provisions of the law will apply. Additional information concerning Park University's policies and procedures related to disability can be found on the Park University web page: http://www.park.edu/disability .
Last Updated:3/3/2010 5:36:02 PM