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FIN 402 Week 1 Assignment Capital Markets and
Investment Banking Process Paper
FIN 402 Final Exam Guide

• FIN 402 Investment Fundamentals and Portfolio
  Management Final Exam Guide
• True/False
• 1.___ ___ The balance sheet shows what assets
  the firm controls at a point in time and how it
  financed the assets.

• FIN402 Week 1 Assignment Capital Markets and
  Investment Banking Process Paper

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FIN 402 Week 1 Assignment Case Problem 1.2, 2.1,
2.2, 3.1, 12.1
FIN 402 Week 1 Assignment Case Problem 1.2
Preparing Carolyn Bowens Investment Plan

• FIN 402 Week 1 Assignment Case Problem 1.2
  Preparing Carolyn Bowens Investment Plan
• FIN 402 Week 1 Assignment Case Problem 2.1 Daras
  Dilemma What to Buy?
• FIN 402 Week 1 Assignment Case Problem 2.2 Ravi
  Dumars High-Flying Margin Account

• Case Problem 1.2 Preparing Carolyn Bowens
  Investment Plan
• Carolyn Bowen, who just turned 55, is employed as
  an administrative assistant for the Xcon
  Corporation, where she has worked for the past 20
  years. She is in good health

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FIN 402 Week 1 Assignment Case Problem 2.2 Ravi
Dumars High-Flying Margin Account
FIN 402 Week 1 Assignment Case Problem 2.1 Daras
Dilemma What to Buy?

• Case Problem 2.2 Ravi Dumars High-Flying Margin
  Account
• Ravi Dumar is a stockbroker who lives with his
  wife, Sasha, and their five children in
  Milwaukee, Wisconsin. Ravi firmly believes that
  the only way to make money in the market is to
  follow an aggressive investment posturefor
  example, to use margin trading

Case Problem 2.1 Daras Dilemma What to
Buy? Dara Simmons, a 40-year-old financial
analyst and divorced mother of two teenage
children, considers herself a savvy investor. She
has increased her investment portfolio
considerably over the past five years.
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FIN 402 Week 1 Assignment Case Problem 12.1
Reverend Mark Thomas Ponders Mutual Funds
FIN 402 Week 1 Assignment Case Problem 3.1 The
Perezes Good Fortune

• Case Problem 12.1 Reverend Mark Thomas Ponders
  Mutual Funds
• The Reverend Mark Thomas is the minister of a
  church in the San Diego area. He is married, has
  one young child, and earns a modest income.

• Case Problem 3.1 The Perezes Good Fortune
• Angel and Marie Perez own a small pool hall
  located in southern New Jersey. They enjoy
  running the business, which they have owned for
  nearly three years. Angel, a retired professional
  pool shooter, saved for nearly 10 years to buy
  this business

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FIN 402 Week 1 DQ 2
FIN 402 Week 1 DQ 1

• What is an asset class? How are asset classes
  selected? What factors affect the selection?

• What are capital market instruments? How are they
  used? Which is most important? Explain your
  answer.

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FIN 402 Week 1 Individual Problem Set
FIN 402 Week 1 DQ 3

• The Problem Set is provided to you to enable you
  to practice the concepts outlined in the
  textbook. Select THREE completed problems from
  the assignment and post your solutions to those
  problems.
• 1. Creating prices for securities and allowing
  for liquidity are functions of

• What is a derivative? What are the different
  types of derivatives? How do businesses use
  derivatives to mitigate risks?

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FIN 402 Week 2 Assignment Asset Classes Paper
FIN 402 Week 1 Individual Weekly Question

• FIN402 Week 2 Assignment Asset Classes Paper

• Submit your Weekly Questions, with original
  questions, in a Microsoft Word or text file. Be
  sure to show your work to earn full credit.
•  Do not use Investopedia, About.com, Wikipedia,
  or other generic internet websites as sources.
  Use credible sources only.

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FIN 402 Week 2 Assignment Case Problem 4.1
Coatess Decision
FIN 402 Week 2 Assignment Case Problem 2.1
Traditional Versus Modern Portfolio Theory Whos
Right

• Case Problem 4.1 Coatess Decision
• On January 1, 2017, Dave Coates, a 23-year-old
  mathematics teacher at Xavier High School,
  received a tax refund of 1,100. Because Dave
  didnt need this money for his current living
  expenses, he decided to make a long-term
  investment.

• Case Problem 2.1 Traditional Versus Modern
  Portfolio Theory Whos Right?
• Walt Davies and Shane OBrien are district
  managers for Lee, Inc. Over the years, as they
  moved through the firms sales organization, they
  became (and still remain) close friends.

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FIN 402 Week 2 Assignment Case Problem 4.2 The
Risk-Return Tradeoff Molly ORourkes Stock
Purchase Decision
FIN 402 Week 2 Assignment Case Problem 4.1, 4.2,
2.1, 5.2, 13.1 (Part a,b,c,d)

• Case Problem 4.2 The Risk-Return Tradeoff Molly
  ORourkes Stock Purchase Decision
• Over the past 10 years, Molly ORourke has slowly
  built a diversified portfolio of common stock.
  Currently her portfolio includes 20 different
  common stock issues and has a total market value
  of 82,500.

•  FIN 402 Week 2 Assignment Case Problem 4.1
  Coatess Decision
• FIN 402 Week 2 Assignment Case Problem 4.2 The
  Risk-Return Tradeoff Molly ORourkes Stock
  Purchase Decision
• FIN 402 Week 2 Assignment Case Problem 2.1
  Traditional Versus Modern Portfolio Theory Whos
  Right

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FIN 402 Week 2 Assignment Case Problem 13.1
Assessing the Stalcheckss Portfolio Performance
(Part a,b,c,d)
FIN 402 Week 2 Assignment Case Problem 5.2 Susan
Lussiers Inherited Portfolio Does It Meet Her
Needs

• Case Problem 13.1 Assessing the Stalcheckss
  Portfolio Performance
• Mary and Nick Stalcheck have an investment
  portfolio containing four investments. It was
  developed to provide them with a balance between
  current income and capital appreciation. Rather
  than acquire mutual fund shares or diversify
  within a given class of investments

• Case Problem 5.2 Susan Lussiers Inherited
  Portfolio Does It Meet Her Needs?
• Susan Lussier is 35 years old and employed as a
  tax accountant for a major oil and gas
  exploration company.

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FIN 402 Week 2 DQ 2
FIN 402 Week 2 DQ 1

• What are different ratio categories? Which
  category is most important to bondholders? Why?
  Which category is most important to stockholders?
  Why?

• What are liquidity ratios? Why are they
  important? How may an investor use liquidity
  ratios when making investment decisions?

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FIN 402 Week 2 Learning Team Assignment Portfolio
Selection Paper (2 Papers)
FIN 402 Week 2 DQ 3

• This Tutorial contains 2 Different Papers
• Resources Electronic Reserve Readings,
  Internet, University Library
• Select one publicly traded bond.
• Select five organizations from the following
  list.

• What is the CAPM? Are CAPM assumptions realistic?
  Why or why not?

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FIN 402 Week 2 Weekly Question
FIN 402 Week 2 Weekly Problem Set
1. (2 point) Calculate the expected return
of the following stocks using CAPM. You can use
internet websites to get Beta figures, such as
Yahoo! Finance, Google Finance, MSN Money,
Marketwatch, etc. Use 4 as the risk free rate
and 6 as the risk premium. a. Proctor
Gamble (PG) b. Microsoft (MSFT) c.
Macys (M)
The Problem Set is provided to you to enable you
to practice the concepts outlined in the
textbook. Select THREE completed problems from
the assignment and post your solutions to those
problems. In your solutions, provide an
explanation as to why you choose the answer.
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FIN 402 Week 3 Assignment Case Problem 6.1, 6.2,
7.1, 7.2, 8.1, 8.2, 9.2
FIN 402 Week 3 Assignment Case Problem 6.1 Sara
Decides to Take the Plunge

• FIN 402 Week 3 Assignment Case Problem 6.1 Sara
  Decides to Take the Plunge
• FIN 402 Week 3 Assignment Case Problem 6.2 Wally
  Wonders Whether Theres a Place for Dividends
• FIN 402 Week 3 Assignment Case Problem 7.1 Some
  Financial Ratios Are Real Eye-Openers

• Case Problem 6.1 Sara Decides to Take the Plunge
• Sara Thomas is a child psychologist who has built
  a thriving practice in her hometown of Boise,
  Idaho. Over the past several years she has been
  able to accumulate a substantial sum of money.
  She has worked long and hard to be successful,
  but she never imagined anything like this.

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FIN 402 Week 3 Assignment Case Problem 7.1 Some
Financial Ratios Are Real Eye-Openers
FIN 402 Week 3 Assignment Case Problem 6.2 Wally
Wonders Whether Theres a Place for Dividends

• Case Problem 7.1 Some Financial Ratios Are Real
  Eye-Openers
• Jack Arnold is a resident of Lubbock, Texas,
  where he is a prosperous rancher and businessman.
  He has also built up a sizable portfolio of
  common stock, which, he believes, is due to the
  fact that he thoroughly evaluates each stock he
  invests in.

• Case Problem 6.2 Wally Wonders Whether Theres a
  Place for Dividends
• Wally Wilson is a commercial artist who makes a
  good living by doing freelance workmostly
  layouts and illustrations

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FIN 402 Week 3 Assignment Case Problem 8.1 Chris
Looks for a Way to Invest His Wealth
FIN 402 Week 3 Assignment Case Problem 7.2 Doris
Looks at an Auto Issue

• Case Problem 7.2 Doris Looks at an Auto Issue
• Doris Wise is a young career woman. She lives in
  Phoenix, Arizona, where she owns and operates a
  highly successful modeling agency. Doris manages
  her modest but rapidly growing investment
  portfolio, made up mostly of high-grade common
  stocks

• Case Problem 8.1 Chris Looks for a Way to Invest
  His Wealth
• Chris Norton is a young Hollywood writer who is
  well on his way to television superstardom. After
  writing several successful television specials

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FIN 402 Week 3 Assignment Case Problem 9.2 Deb
Takes Measure of the Market
FIN 402 Week 3 Assignment Case Problem 8.2 An
Analysis of a High-Flying Stock

• Case Problem 8.2 An Analysis of a High-Flying
  Stock
• Marc Dodier is a recent university graduate and a
  security analyst with the Kansas City brokerage
  firm of Lippman, Brickbats, and Shaft.

• Case Problem 9.2 Deb Takes Measure of the Market
• Several months ago, Deb Forrester received a
  substantial sum of money from the estate of her
  late aunt. Deb initially placed the money in a
  savings account because she was not sure what to
  do with it. Since then, however, she has taken a
  course in investments at the local university.

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FIN 402 Week 3 DQ 1
FIN 402 Week 3 Assignment Relative Performance
Paper

• FIN 402 Week 3 Assignment Relative Performance
  Paper

• What is the difference between systematic and
  unsystematic risk? How is the beta coefficient
  used to assess risk? Is it better to maximize
  return or minimize risk? Why?

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FIN 402 Week 3 DQ 3
FIN 402 Week 3 DQ 2

• What is the relationship between inflation and
  interest rates? How does this relationship affect
  asset prices? How does the unemployment rate
  affect interest rates?

• What factors must be taken into consideration
  when creating an investment portfolio? How must a
  portfolios components be weighted?

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FIN 402 Week 3 Weekly Problem Set
FIN 402 Week 3 Individual Assignment CAPM Web
Exercise

• The Problem Set is provided to you to enable you
  to practice the concepts outlined in the
  textbook. Select THREE completed problems from
  the assignment and post your solutions to those
  problems. In your solutions, provide an
  explanation as to why you choose the answer.
• 1. Which of the following are assumptions of the
  simple CAPM model?

• FIN 402 Week 3 Individual Assignment CAPM Web
  Exercise
• ResourceFundamentals of Investment Management
• Prepare a response to the following assignment
• Web Exercise (Ch. 21) of Fundamentals of
  Investment Management, including calculations for
  each organization listed in Step 9

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FIN 402 Week 4 Assignment Case Problem 10.1 Max
and Veronica Develop a Bond Investment Program
FIN 402 Week 3 Weekly Question

• Submit your Weekly Questions, with original
  questions, in a Microsoft Word or text file. Be
  sure to show your work to earn full credit.
• 1. (2 point) Use the expected return and
  Beta calculated in Week 2 Homework Questions 1
  for the stocks listed PG, Microsoft, Macys, JP
  Morgan Chase and Southern Company. You will make
  three portfolios

• Case Problem 10.1 Max and Veronica Develop a Bond
  Investment Program
• Max and Veronica Shuman, along with their teenage
  sons, Terry and Thomas, live in Portland, Oregon.
  Max is a sales rep for a major medical firm, and
  Veronica is a personnel officer at a local bank.

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FIN 402 Week 4 Assignment Case Problem 10.2 The
Case of the Missing Bond Ratings
FIN 402 Week 4 Assignment Case Problem 10.1,
10.2, 11.1, 11.2

• FIN 402 Week 4 Assignment Case Problem 10.1 Max
  and Veronica Develop a Bond Investment Program
• FIN 402 Week 4 Assignment Case Problem 10.2 The
  Case of the Missing Bond Ratings
• FIN 402 Week 4 Assignment Case Problem 11.1 The
  Bond Investment Decisions of Dave and Marlene
  Carter

• Case Problem 10.2 The Case of the Missing Bond
  Ratings
• Its probably safe to say that theres nothing
  more important in determining a bonds rating
  than the underlying financial condition and
  operating results of the company issuing the
  bond. Just as financial ratios can be used in the
  analysis of common stocks, they can also be used
  in the analysis of bonds

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FIN 402 Week 4 Assignment Case Problem 11.2 Grace
Decides to Immunize Her Portfolio
FIN 402 Week 4 Assignment Case Problem 11.1 The
Bond Investment Decisions of Dave and Marlene
Carter

• Case Problem 11.1 The Bond Investment Decisions
  of Dave and Marlene Carter
• Dave and Marlene Carter live in the Boston area,
  where Dave has a successful orthodontics
  practice. Dave and Marlene have built up a
  sizable investment portfolio and have always had
  a major portion of their investments in
  fixed-income securities

• Case Problem 11.2 Grace Decides to Immunize Her
  Portfolio
• Grace Hesketh is the owner of an extremely
  successful dress boutique in downtown Chicago.
  Although high fashion is Graces first love,
  shes also interested in investments,
  particularly bonds and other fixed-income
  securities.

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FIN 402 Week 4 DQ 2
FIN 402 Week 4 DQ 1

• What are examples of active and passive portfolio
  management techniques? Why would a portfolio
  manager pursue active instead of passive
  techniques?

• Does international diversification enhance risk
  reduction? Why or why not? What measures may be
  taken to reduce risks of international portfolio
  investing?

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FIN 402 Week 4 Individual Assignment Risk and
Return Tradeoff Memo (2 Papers)
FIN 402 Week 4 DQ 3

• What are unique risks associated with foreign
  investments? How might an investor protect his or
  her portfolio against such risks? Is it possible
  to protect a portfolio from all risk?

• This Tutorial contains 2 Different Papers
• FIN 402 Week 4 Individual Assignment Risk and
  Return Tradeoff Memo
• Resources Constructing and Managing a Portfolio
  Simulation, Electronic Reserve Readings,
  University Library

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FIN 402 Week 4 Weekly Problem Set
FIN 402 Week 4 Learning Team Assignment Risk and
Return Analysis Paper (Portfolio Risk Analysis)

• FIN 402 Week 4 Learning Team Assignment Risk and
  Return Analysis Paper
• Complete the following activities
• Conduct a risk assessment and return analysis on
  the investment vehicles in your portfolio.

• The Problem Set is provided to you to enable you
  to practice the concepts outlined in the
  textbook. Select THREE completed problems from
  the assignment and post your solutions to those
  problems.
• 1. The weak form of the EMH states that ________
  must be reflected in the current stock price.

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FIN 402 Week 5 Assignment Case Problem 14.1 The
Franciscos Investment Options
FIN 402 Week 4 Weekly Question

• 1. (2 point) Go to Morningstar.com. Find the
  listed mutual funds profiles on the website.
  Under Ratings Risk, find and submit the Sharpe
  Ratio for each fund. Then discuss, using the
  ratio, which fund you believe provides a better
  investment.
• Funds ARTVX
• BPAIX
• BOSOX
• MFCFX

• Case Problem 14.1 The Franciscos Investment
  Options
• Hector Francisco is a successful businessman in
  Atlanta. The box-manufacturing firm he and his
  wife, Judy, founded several years ago has
  prospered. Because he is self-employed, Hector is
  building his own retirement fund.

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FIN 402 Week 5 Assignment Case Problem 14.2
Lukes Quandary To Hedge or Not to Hedge
FIN 402 Week 5 Assignment Case Problem 14.1,
14.2, 15.1, 15.2

• FIN 402 Week 5 Assignment Case Problem 14.1 The
  Franciscos Investment Options
• FIN 402 Week 5 Assignment Case Problem 14.2
  Lukes Quandary To Hedge or Not to Hedge
• FIN 402 Week 5 Assignment Case Problem 15.1 T.
  J.s Fast-Track Investments Interest Rate Futures

• Case Problem 14.2 Lukes Quandary To Hedge or
  Not to Hedge
• A little more than 10 months ago, Luke Weaver, a
  mortgage banker in Phoenix, bought 300 shares of
  stock at 40 per share.

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FIN 402 Week 5 Assignment Case Problem 15.2 Jim
and Polly Pernelli Try Hedging with Stock Index
Futures
FIN 402 Week 5 Assignment Case Problem 15.1 T.
J.s Fast-Track Investments Interest Rate Futures

• Case Problem 15.1 T. J.s Fast-Track Investments
  Interest Rate Futures
• T. J. Patrick is a young, successful industrial
  designer in Portland, Oregon, who enjoys the
  excitement of commodities speculation

• Case Problem 15.2 Jim and Polly Pernelli Try
  Hedging with Stock Index Futures
• Jim Pernelli and his wife, Polly, live in
  Augusta, Georgia. Like many young couples, the
  Pernellis are a two-income family. Jim and Polly
  are both college graduates and hold high-paying
  jobs

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FIN 402 Week 5 DQ 1
FIN 402 Week 5 Assignment Investment Portfolio
Paper (2 Papers)

• This tutorial contains 2 Different Papers
• Prepare a paper, not to exceed 5 pages, in which
  you assess the performance of your portfolio,
  using William Sharpes and Harry Markowitzs
  modern portfolio theories.

• What are different types of alternative
  investment vehicles? Which is preferable? What
  factors could affect the choice of such a vehicle?

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FIN 402 Week 5 DQ 3
FIN 402 Week 5 DQ 2

• What is an individual retirement account? Is it
  important to have an individual retirement
  account?

• What are derivatives? How may they be used to
  manage a portfolio?

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FIN 402 Week 5 Weekly Problem Set
FIN 402 Week 5 Individual Assignment Investment
Enhancement Paper

• 1. You purchase one IBM July 125 call contract
  for a premium of 5. You hold the option until
  the expiration date when IBM stock sells for 123
  per share. You will realize a ______ on the
  investment.
• 2. You purchase one IBM July 120 put contract for
  a premium of 5. You hold the option until the
  expiration date when IBM stock sells for 123 per
  share.

• Prepare a 1,050- to 1,750-word paper in which you
  address the following
• Analyze effects of international portfolio
  diversification on an investment portfolio.
• Examine alternative investment vehicles.

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FIN 402 Week 5 Weekly Questions

• Submit your Weekly Questions, with original
  questions, in a Microsoft Word or text file. Be
  sure to show your work to earn full credit.
• Do not use Investopedia, About.com, Wikipedia, or
  other generic internet websites as sources. Use
  credible sources only. Also, do not use quotes in
  lieu of a response in your own words.

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