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2021-2022 Undergraduate and Graduate Catalog [ARCHIVED CATALOG]
Finance (FIN) Courses
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Finance
Finance
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FIN 300 - Business Finance
(3 units)
Prerequisites: Business majors, Pre-Business majors, Finance minors, Entrepreneurship minors, Asian Studies, Business Economics, and Certificate in Asian Studies, and Applied Mathematics majors. Freshmen excluded.
Introductory course for all business majors. Integration of computer applications and management information systems in (1) Time Value of Money, Risk, Valuation, Cost of Capital; (2) Capital Budgeting; (3) Long-Term Financing Decisions; (4) Working Capital Policy and Management; (5) Financial Analysis and Planning; (6) International Finance; (7) Special topics including Mergers, Acquisition and Bankruptcy.
Letter grade only (A-F). -
FIN 310 - Personal Finance
(3 units)
Prerequisites: Finance majors, Pre-Finance majors, and Finance minors only. Freshmen Excluded.
Financial analysis planning and management for the individual. Topics include owning and financing a home, minimizing taxes, goals and strategies for investing, budgeting, savings plans, controlling expenses and credit usage, determining insurance needs, and planning retirement.
Letter grade only (A-F). -
FIN 330 - Insurance Principles
(3 units)
Prerequisites: Finance majors, Pre-Finance majors, and Finance minors only. Exclude freshman.
Principles of risk-bearing and insurance. Life and property-liability insurance needs of the individual. Types of carriers and insurance markets; organization and functions of carriers; industry regulation.
Letter grade only (A-F). -
FIN 340 - Real Estate Principles
(3 units)
Prerequisites: Finance majors, Finance minors, Pre-Finance majors, and Entrepreneurship minors only. Freshmen excluded.
Real estate markets, institutions and activities from the perspective of the decision makers involved in real estate. Fundamental physical, legal, regulatory, economic, mathematical and taxation considerations influencing real estate decision and values. Brokerage, property management, appraisal and counseling.
Letter grade only (A-F). -
FIN 350 - Investment Principles
(3 units)
Prerequisites: FIN 300 . Pre-Finance majors, Finance majors, Finance Minors, and Applied Math majors only. Exclude Freshmen.
Investment markets and transactions; sources of investment information; return vs. risk; margin trading and short selling; investment planning; investing in equities and fixed income securities; speculative tax-sheltered investments; gold and other tangibles; portfolio management. Demonstrations and use of microcomputer technology.
Letter grade only (A-F). Course fee may be required. -
FIN 360 - Capital Markets
(3 units)
Prerequisites: Finance majors, Pre-Finance majors, and Asian Studies majors only. Freshmen excluded.
Capital formation, rates, markets and institutions. Flow of fund analysis, intermediation, interest rate structures, risks and liquidity. Management of financial institutions.
Letter grade only (A-F). -
FIN 400 - Intermediate Financial Management
(3 units)
Prerequisites: Finance majors, minors and FIN 300 . Freshmen Excluded.
Intermediate-level lecture-discussion course in corporate finance. Topics include: cash budgeting, capital budgeting, business acquisition and mergers, cost of capital, and international finance.
Letter grade only (A-F). -
FIN 450 - Portfolio Analysis
(3 units)
Prerequisites: FIN 350 and Finance majors, Finance minors, and Applied Mathematics majors. Freshmen excluded.
Microcomputer technology to perform security analysis including bonds and the bond market, stocks and the stock market, security valuation, fundamental and technical analysis, portfolio management and risk-reward relationships. Microcomputer software programs that perform security analysis and portfolio management using numerous databases.
Letter grade only (A-F). Course fee may be required. -
FIN 460 - Management in Financial Institutions
(3 units)
Prerequisites: FIN 300 and Finance majors, Finance minors, Applied Math majors, or Asian Studies majors. Exclude freshmen.
Students will be introduced to management of banks and other depository financial institutions. Banking trends and introductory topics, Asset and Liability Management, Capital adequacy and Management of Investment portfolios will be the main focus of the course.
Letter grade only (A-F). -
FIN 470 - Seminar in Financial Management
(3 units)
Prerequisites: FIN 400 and Finance majors and minors. Exclude freshmen.
Designed to enhance comprehension of finance theories through case studies. The subject of each designed case is related to specific finance subjects including estimation of cost of capital, resource allocation and capital budgeting, IPOs, stock repurchase, dividend policy, agency cost, and merger and acquisition.
Letter grade only (A-F). -
FIN 480 - Derivatives
(3 units)
Prerequisites: FIN 350 and Finance majors, Finance minors, Applied MATH majors. Freshmen excluded.
This is an introductory course in futures, options, swaps, and other derivatives. It teaches risk management methods and introduces financial engineering techniques, including basic stochastic calculus. It emphasizes the pricing of derivatives and the building of various quantitative models.
Both grading options. -
FIN 485 - Fixed Income Securities
(3 units)
Prerequisites: FIN 350 and Finance majors, Finance minors, Applied MATH majors. Freshmen excluded.
The course analyzes fixed income securities, option embedded fixed income securities and interest rate derivatives. Usual duration and convexity analysis, and the interest rate stochastic processes and other forecasting techniques will be studied. New breeds of fixed income securities, various collateralized bond obligations and other asset backed securities, and interest rate arbitrage techniques will be introduced.
Letter grade only (A-F). -
FIN 490 - International Finance
(3 units)
Prerequisites: FIN 300 and Finance & International Business majors and minors, Applied MATH majors. Freshmen excluded.
International trade theories, international payments; currency value fluctuations and exchange rates; international capital markets; roles of developing countries; international institutions and multi-national enterprises. Individual research required.
Letter grade only (A-F). -
FIN 495 - Selected Topics in Finance
(3 units)
Prerequisites: Consent of department chair.
Current topics of interest in Finance.
Letter grade only (A-F). May be repeated to a maximum of 6 units with different topics in different semesters. -
FIN 497 - Directed Studies in Finance
(1-3 units)
Prerequisites: Consent of department chair.
Advanced individual projects, study, and research in Finance.
Letter grade only (A-F). -
FIN 499A - Applied Portfolio Management
(3 units)
Prerequisites:
For Finance Majors: FIN 350 and consent of Instructor; FIN 400 and/or FIN 450 or their equivalent are recommended but can be taken concurrently.
For non-Finance Majors: Equivalent relevant major coursework and consent of Instructor; preference given for students who have completed FIN 300 and FIN 350; non-Finance majors interested in taking FIN 499A are also strongly encouraged to work toward a minor in Finance.
Participate in management of actual investment portfolio. Research, monitor, and analyze securities and make, buy and sell recommendations for a student-managed investment fund. Contribute to publication of semi-annual fund report. Conduct market, sector and firm analysis with presentations and outside research.
Letter grade only (A-F). -
FIN 499B - Applied Portfolio Management
(3 units)
Prerequisites: FIN 499A : FIN 350 , FIN 400 , FIN 450 (either or both FIN 400 and FIN 450 may be taken concurrently), and consent of instructor; FIN 499B: FIN 499A and consent of instructor.
Participation in management of actual investment portfolio. Research, monitor, and analyze securities and make, buy and sell recommendations for a student-managed investment fund. Contribute to publication of semi-annual fund report. Market, sector and firm analysis with presentations and outside research.
Letter grade only (A-F). -
FIN 501 - Financial Management Concepts
(3 units)
Prerequisite: MBA majors or MS Finance majors only.
Integration of computers, management information systems and cases to: (1) time value of money, risk, valuation, cost of capital, capital structure; (2) capital budgeting; (3) long-term financing decisions; (4) working capital policy and management; (5) financial analysis and planning.
Letter grade only (A-F). -
FIN 600 - Seminar in Business Finance
(3 units)
Prerequisite: FIN 501 and MBA majors or MS FIN majors only.
An in-depth analysis of financial theories and analytical techniques with an emphasis on case study and computer application. It covers topics from fundamental issues like securities valuation, capital budgeting, cost of capital, and dividend policy to more advanced issues like capital structure, mergers and acquisition, IPOs, and hybrid securities.
Letter grade only (A-F). -
FIN 610 - Seminar in Financial Analysis and Reporting
(3 units)
Prerequisite: FIN 501 and MBA majors or MS Finance only. MBA majors must also request Department Chair approval and may only take the class in Fall.
The role of financial statements and annual reports in the financial reporting process. Using ratio analysis, students analyze past firm performance and forecast future performance. Students also study the effects of different accounting methods on financial analysis.
Letter grade only (A-F). -
FIN 620 - Capital Budgeting
(3 units)
Prerequisites: FIN 501 , FIN 600 and MBA majors only.
Theory of capital budgeting within the framework of the firm. Cost of capital determination and logic of expansion vs. growth, and equity financing vs. debt financing.
Letter grade only (A-F). Computer applications required. -
FIN 630 - Seminar in Financial Forecasting
(3 units)
Prerequisites: FIN 501 , FIN 600 and MBA majors only.
Research projects in industry, individual company, product and commodity areas. Computer applications required.
Letter grade only (A-F). -
FIN 640 - Seminar in Quantitative Analysis
(3 units)
Prerequisite: FIN 501 , python programming skills, and MS Finance only.
Topics may include application of quantitative analysis and statistical models.
Letter grade only (A-F). May be repeated to a maximum of 6 units in different semesters. -
FIN 650 - Seminar in Investments
(3 units)
Prerequisites: MBA and MS Finance only. FIN 501 , FIN 600 for MBA major designated section. FIN 501, FIN 600, and python programming skills for MS Finance designated section.
Topics may include security analysis, valuation, portfolio management and risk management as related to individual circumstances of the investor, specific market conditions and broader financial aspects of the economy.
Letter grade only (A-F). Course fee may be required. May be repeated to a maximum of 6 units in different semesters. -
FIN 660 - Seminar in Financial Institutions and Ethics
(3 units)
Prerequisite: FIN 501 and MBA majors or MS Finance only. EMBA majors must request Department Chair approval and may only take the class in Spring.
Topics may include the Federal Reserve System and monetary policy, bank regulation, types of risk, mortgage securitization and loan sales, use of on-balance sheet and off-balance sheet tools to manage credit and interest rate risks, and ethics related topics.
Letter grade only (A-F). May be repeated to a maximum of 6 units in different semesters. -
FIN 670 - Seminar in Equity Securities and Valuation
(3 units)
Prerequisite: FIN 501 and MBA majors or MS Finance only. MBA majors must also take FIN 650 and request Department Chair approval.
Topics may include the corporate form of business and the rights of equity stockholders, application and processes for equity valuation, risk and return concepts and cost of capital, discounted dividend valuation, free cash flow valuation, residual income valuation, market-based valuation, private company valuation.
Letter grade only (A-F). May be repeated to a maximum of 6 units in different semesters. -
FIN 675 - Entrepreneurial Finance
(3 units)
Prerequisites: Graduate standing, FIN 501 .
Introduction to the financial analysis of and the financial decisions surrounding start-up businesses. This class explores important issues entrepreneurs face, such as how and where to obtain financing, using business cash flow models, and positioning the early-stage company strategically. For future managers, investors, and those who have engineering and science background. Case studies, lectures, workshops, and projects that involve real-world business ideas.
Letter grade only (A-F). -
FIN 680 - Seminar in Derivatives
(3 units)
Prerequisite: FIN 501 and MBA majors or MS Finance only. MBA majors must also take FIN 650 and request Department Chair approval.
Topics may include futures markets, options markets, options on futures, trading strategies, volatilities and risk management, credit risk, credit and interest rate, swaps, energy and commodity derivatives, volatility derivatives, hedging and speculation, modeling and valuation, private equity, hedge funds, real estate, and derivative market regulation.
Letter grade only (A-F). May be repeated to a maximum of 6 units in different semesters. -
FIN 685 - Fixed-Income Securities
(3 units)
Prerequisites: FIN 501 , FIN 600 and MBA majors or MS Finance only. MBA majors must also take FIN 650 and request Department Chair approval.
Topics may include valuation and management of fixed income securities, bond market segments, arbitrage free valuation, the impact of embedded options, risk measurement and analysis, and bond portfolio management.
Letter grade only (A-F). May be repeated to a maximum of 6 units in different semesters. -
FIN 690 - Seminar in Economics and International Finance
(3 units)
Prerequisites: FIN 501 , FIN 600 and major MBA majors or MS Finance only. MBA majors must also request Department Chair approval and may only take the class in Spring.
Topics may include international monetary system, parity theorems, foreign exchange risk exposure, currency and interest derivatives, multinational capital budgeting, and economics related topics.
Letter grade only (A-F). May be repeated to a maximum of 6 units in different semesters. -
FIN 691 - Seminar in Integrated Financial Management
(3 units)
Prerequisite: MS Finance only.
Topics may include ethical and professional standards, quantitative approaches, economics, financial analysis, corporate finance, equity and fixed income investments, derivatives, alternative investments, case studies, and portfolio management and wealth planning.
Letter grade only (A-F). May be repeated to a maximum of 6 units in different semesters. -
FIN 695 - Selected Topics in Finance
(3 units)
Prerequisites: FIN 501 , consent of instructor.
Current topics of interest in Finance.
Letter grade only (A-F). May be repeated to a maximum of 6 units with different topics in different semesters. -
FIN 697 - Directed Studies in Finance
(1-3 units)
Prerequisites: FIN 501 , consent of department chair.
Advanced individual projects, study, and research in Finance.
Letter grade only (A-F). -
FIN 699A - Applied Portfolio Management
(3 units)
Prerequisites: Graduate business standing; FIN 501 , FIN 600 , FIN 650 ; consent of instructor and department chair. FIN 699A offered in Fall and accepted students must enroll in FIN 699B in Spring.
Participation in management of actual investment portfolio. Research, monitor, and analyze securities and make, buy and sell recommendations for a student-managed investment fund. Contribute to publication of semi-annual fund report. Market, sector and firm analysis with presentations and outside research.
Letter grade only (A-F). -
FIN 699B - Applied Portfolio Management
(3 units)
Prerequisites: FIN 699A . MBA standing only.
Participation in management of actual investment portfolio. Research, monitor, and analyze securities and make, buy and sell recommendations for a student-managed investment fund. Contribute to publication of semi-annual fund report. Market, sector and firm analysis with presentations and outside research.
Letter grade only (A-F).
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