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FINA 4401 - FINA401 syllabus




                                    FALL, 1999

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announcements relevant to the course. Use the "Discussion Zone" and the "Chat
Room" for discussions and the Bulletin Board to post messages that you feel

Alternative Format/Disability Services: To obtain this document (or any other
documents in courses) in alternative format, contact Dr. Jane Thompson, who will
be handling the responsibilities of the Disability Services/504 Coordinator on an
interim basis, at 770-961-3730 or e-mail her at .

Course         FINA 4101
Course Title: Investments
Prerequisites: Fina 301
Professor:     Dr. Zuobao Wei
Course         Clayton College and State University
Location:      Room C28
Meeting        7:30 p.m. - 8:50 p.m., TTH
Office:        C-19 (B), main campus, CCSU
Office Hours: By appointment and as shown in "Office Hours"
Phone:         (770) 961-???? (office) (will be known as of 8/23/99)
               (770) 961-3410 (secretary)
Home Page: Home page:
Required       Fundamentals of Investing, Gitman, L.J. and Joehnk, M.D., 7th ed.,
Text:          Harper and Row, 1998.
               Study Guide to accompany Gitman and Joehnk
Resources: Investment Management Disk (IMD) to accompany Fundamentals of
               Finance by Gitman and Joehnk.Investors Resource Manual to
               accompany Gitman and Joehnk.
               Various Internal Sources (see attached)
               Stock-Trak Portfolio Management Simulation Game
               Wall Street Journal and financial periodicals
Aug. 23, 1999    Classes Begin
Sept. 6, 1999    Labor Day Holiday
September 7,     Faculty Planning Day - No Classes
October 15,      Last day to withdraw without academic accountability
November 24,     No classes
1999             Thanksgiving Holidays - No Classes
Nov. 25-         Last day of class
December 10,
Dec. 11 - 16,    Finals

                                  COURSE OBJECTIVES

The purpose of the course is to provide an understanding of various investment
opportunities and alternatives in money and capital markets and development of
techniques and strategies for implementing goals in a portfolio context.

Upon completion of this course, the student should:

     1. be able to effectively analyze financial statements and to utilize such information
        in the process of investment selections.
     2. be able to demonstrate a knowledge of investment instruments and transactions.
     3. have developed a basic knowledge of how financial markets function and the
        respective roles of equity and credit markets as well as non-financial markets.
     4. complete the course with a knowledge of specific areas such as: stocks, bonds,
        derivative instruments, mutual funds, tax sheltered investments, and real estate.
     5. have developed an understanding of investment strategies, analysis, and
        portfolio management.

The goal of accomplishing each objective will be met through the student course

                          STUDENT COURSE REQUIREMENTS

Grading: Grades will be assigned using the following scale:

A:    Average of 90 - 100%
B:    Average of 80 - 89%
C: Average of 70 - 79%
D: Average of 60 - 69%
F: Average of 0 - 59%
W: Withdrawal from the course on or before October 15, 1999
WF: Withdrawal from the course after October 15, 1999


 Examinations will cover material presented in class, in the textbook, and in the
additional resources (such as the Study Guide). Unless announced otherwise, there will
be four exams, including the final examination.

 Examination dates will be announced. If a scheduled exam is missed, see the
professor personally with a written reason for the absence. Make-up examinations will
be given only in cases of serious illness; the professor reserves the right to exercise her
personal judgment in other cases.

 Failure to take a scheduled exam, without prior permission for an excused absence,
will result in a "0" grade for that exam.

Course Changes:

 The course syllabus provides a general plan for the course. The professor reserves
the right to make periodic changes to the syllabus, including: assignments, time table,
examinations, etc., in order to accommodate the needs of the class as a whole and fulfill
the goals of the course.

Outside Assignments:

 To be assigned. Two term research projects relating to mutual funds and stock
selection are required. Details will be distributed.

Several Annual Reports will be distributed. Appropriate assignments will be made.

Stock Track - Students are expected to participate in a market simulation service. Up to
60 trades may be executed between ???, 1999 and ???, 1999. (Dates will be
determined by the professor.)


 An incomplete will only be given in rare non-academic situations - to be determined by
the instructor.

 To withdraw passing, passing work is required. Failure to officially withdraw will

result in a grade of "F". The college has specific policies regarding withdrawals.

Consult the current academic catalog for specific policies.

Attendance and Punctuality:

 Regular attendance and punctuality are expected and necessary to attain maximum
success in your studies and course grade. Regular class attendance is the obligation of
each student, and, due to the lecture/discussion format of the class, attendance is
strongly encouraged.

 An absence does not relieve the student of responsibility for knowledge of classroom
materials, examinations, cases, assignments and/or the submission of any report(s),
etc., nor the consequences of a late submission. Students are responsible for obtaining
notes, from other students or from the network if available, for any class missed and for
all assignments made or due during absence.

 Students are required to take all exams and complete all assignments by the specified
date. Students who miss class due to work, illness, or other valid reasons must notify
the professor prior to the missed sessions.

 Absence from class when an assignment is announced is not an acceptable excuse.

Class Participation and Homework:

 Students are encouraged to ask questions to clarify understanding and to discuss and
debate the subject matter in class.


 Please seek individual assistance from the professor if extra help is needed in
understanding some course material.

College Policies:

 In accordance with college policies, no eating, drinking, or smoking is allowed in the

 Students are to abide by all policies covered in the CCSU Student Handbook.

                                   COURSE OUTLINE
Note: The schedule in this course is very flexible. The professor reserves the right to
make changes in assignments and examination dates in order to accommodate the
needs of the class as a whole.

Date                      Topic

Aug. 24, 1999            Syllabus overview, instructor introduction
                        Chapter 1 - The Role and Scope of Investments
Aug. 26, 1999
Aug. 31, 1999            Chapter 2 - Investment Markets and Transactions
Sept. 2, 1999
Sept. 9, 1999             Chapter 3 - Investment Planning and Information
Sept. 14, 1999
Sept, 16, 1999            Chapter 4 - Investment Return and Risk
Sept. 21, 1999
Sept. 23, 1999            Chapter 5 - Common Stock Investments
Sept. 28, 1999
Sept. 30, 1999            Chapter 6 - Analytical Dimensions of Stock Selection
Oct. 5, 1999
Oct. 7, 1999             Chapter 7 - Stock Valuation and Investment Decisions
Oct. 12, 1999
Oct. 14, 1999            Chapter 8 - Bond Investments
Oct. 19, 1999
Oct. 21, 1999            Chapter 9 - Bond Valuation and Analysis
Oct. 26, 1999
Oct. 28, 1999            Chapter 10 - Preferred Stock and Convertible Securities
Nov. 2, 1999
Nov. 4, 1999             Chapter 11 - Options: Puts, Calls, and Warrants
Nov. 9, 1999
Nov. 11, 1999            Chapter 12 - Commodities and Financial Futures
Nov. 16, 1999            Chapter 13 - Mutual Funds: An Indirect Route to the Market
Nov. 18, 1999            Chapter 14 - Real Estate and Other Tangible Investments:
Nov. 23, 1999            Chapter 15 - Tax-Advantaged Investments
Nov. 25, 1999
Nov. 30, 1999             Chapter 16 - Portfolio Construction
Dec. 2, 1999
Dec. 7, 1999              Chapter 17 - Portfolio Management and Control
Dec. 9, 1999
Dec. 11 - 16              Finals

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