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mid1-review - FIN 432 Investment Analysis and Management...

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FIN 432 – Investment Analysis and Management Review Notes for Midterm Exam #1 Chapter 1 1. Investment vs. investments 2. Real assets vs. financial assets 3. Investment process Investment policy, asset allocation, security selection and analysis, portfolio construction and analysis, and portfolio rebalance 4. Players in investment markets 5. Market structure Direct search, brokered, dealer, auction markets Chapter 2 1. Financial markets 2. Securities in money markets 3. Securities in capital markets 4. Market indexes and averages Chapter 3 1. New issues 2. Transactions Bid and asked price, bid-asked spread Types of orders: concepts and applications Types of transactions: long vs. short 3. Margin trading and short sales Margin requirements Initial margin Maintenance margin Margin call Up-tick and zero-plus tick rules in short selling Chapter 4 1. Investment companies and mutual funds 2. Characteristics of investment companies NAV (net asset value) Open-end fund vs. closed-end fund Load funds vs. no-load funds
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