University of Indianapolis
School of Business
Contact Information: Albert Lu
Email: lua@uindy.edu
WeChat: Alllbert
Office Hours: Mon, Tue, Wed, Thu 11:30 – 13:00 by appointment; available anytime via WeChat
NingboTech TA: Xie Jinghua 839014548@qq.com
Course: Financial Investments
Course Number: FIN-350
Credits: 3
Term: 2023-24 Semester 1
Prerequisites: FIN-210
Time and Location: Monday 9:50 – 11:25 SC205 FIN major cohort
Monday 13:30 – 15:05 SB305 IBUS major cohort
Wednesday 8:00 – 9:35 SC210 IBUS major cohort
Thursday 13:30 – 15:05 SC306 FIN major cohort
Course Description:
This course provides students with an overview of investments and demonstrating the value of investment
theories. The class will be reviewing financial securities markets and learning about modern portfolio theory and
the balance between risk and reward. We will learn about various financial instruments and their cost/benefits
and practice valuation techniques to assess specific investments. The objective of the class is to provide students
with a solid foundation in investment concepts for future careers, personal investments, and retirement.
Course Objectives:
The course is designed to provide students with knowledge and exposure investments. It’s organized into three
parts: investment market, valuation of securities, and issues in efficient markets.
1. Investment market structure, investment strategies, and tax – understand and differentiate
2. Risk and return – apply theories to investments
3. Stock market simulator – hands on experience
4. Macroeconomic variables – identify
5. Firm valuation – understand and apply
6. Efficient markets – purpose and relevance
7. Derivatives – purpose and application
Text:
Fundamentals of Investing by Smart, Zutter (14th Global Edition)
Grading Factors:
Attendance/Participation 10%
Assignments 15%
Quizzes 15%
Midterm 30%
Final 30%
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Grading Scale:
100-97 A+ 89-87 B+ 79-77 C+ 69-67 D+ 59-0 F
96-93 A 86-83 B 76-73 C 66-63 D
92-90 A- 82-80 B- 72-70 C- 62-60 D-
*0.5 will round up to the next whole number
Assignments, Quizzes, and Exams
Assignments will be posted on Brightspace. Typically, assignments will be due one week after they’re assigned,
and grades will be posted after the due date. Late assignments turned in after the due date and before the end
date will be heavily penalized. Assignments will not be accepted after the end date on Brightspace.
Online quizzes will be on the HTMW (stock simulator website). They will generally contain five questions
covering the main points of the readings. You should expect a quiz for every assigned reading and budget 30
minutes for each task. In addition to online quizzes, in-class ‘pop’ quizzes will also be administered randomly
throughout the semester.
Exams will be taken on NTU campus. They include material from class lectures, power points, activities, and the
textbook. Each exam will contain 40 multiple choice questions with a 90-minute test period. More information
about the midterm and final will be posted on Brightspace. Missed exams will be dealt with on a case-by-case
basis.
Grades will be posted on Brightspace and updated weekly to the best of my ability. Assignments and Quizzes are
typically graded within 3 days and Exams are graded within 5 days. Grades will not be discussed/revised after 10
days of posting. It is your responsibility to check your grade frequently and notify me if there are any problems.
For example, do not message me during Finals week 12 and tell me your Week 7 assignment grade is wrong.
Market Simulator: How the market works (HTMW)
We will be using a stock market simulator during this course. It will help you learn the ins and outs of trading
stocks, ETFs, mutual funds, and other financial assets. You’ll have the opportunity to start with a set amount of
capital ($10,000) and measure your performance against your peers and the market throughout the semester.
You may be offered extra credit based on your performance against the S&P500, utilization of funds, and
applying key concepts learned in class.
Classroom Policy
In this class, we are all peers and equals. My hope is that we will teach and learn from each other, so don’t be
afraid to speak up and participate. Education is neither a race nor a competition, please work together and help
one another.
This course requires a financial calculator. I will be using a HP12c. You are welcome to use other financial
calculators, but I may not be able to help with their operation. Other suggested calculators are TI BA II Plus or
HP10b (but note that the HP10b cannot be used for the CFA exam).
Other Policies:
• Come to class prepared by reviewing the readings before class.
• Attendance is mandatory and attendance will be recorded randomly.
• Make-up exams must be discussed with me before the exam. If you are unable to attend on exam day,
you must contact me as soon as possible.
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• Grades may be curved individually on each activity or in aggregate at the end of the semester.
• Extra Credit may be given at my discretion in the form of presentations, tutoring, etc.
• Phones are allowed in class, but they must be set to silent or vibrate.
• Laptops are allowed and encouraged in class.
• If you need to use the restroom, take a call, or leave the room, feel free to do so without requiring
permission.
Letters of Recommendation:
If you would like a letter of recommendation, department policy stipulates that an instructor should have a
student for a minimum of two classes and achieve an A in both classes before consideration.
Academic Dishonesty and Plagiarism
You must not adopt or reproduce ideas, words, or statements of another person without giving an appropriate
acknowledgement to the source. You must give due credit to the originality of others and acknowledge an
indebtedness wherever you:
• Quote another person’s actual words, either oral or written;
• Paraphrase another person’s words, either oral or written;
• Use another person’s ideas, opinions, or theories; or
• Cite facts, statistics, or other illustrative material, unless the information is common knowledge.
Incidents of academic misconduct, dishonesty and/or plagiarism will be handled as per the Student Handbook.
According to the Student Handbook:
Academic Integrity and Academic Misconduct: The students, faculty, and administrators of the University of
Indianapolis commit themselves to the highest level of ethical conduct in academic affairs. The University of
Indianapolis, therefore, adopts regulations concerning Academic Misconduct to safeguard the academic
integrity of the institution. Academic Misconduct includes, but is not limited to, the following circumstances: (A)
Cheating, (B) Fabrication, (C) Plagiarism, (D) Interference, (E) Violation of Course Rules, (F) Facilitating Academic
Dishonesty, and (G) Abuse of Confidentiality. For a full statement of the policy refer to the University of
Indianapolis Student Handbook, Section I, Academic Information.
ADA & Disability Accommodation:
Accommodation for students qualifying for disability-related needs will be provided. Students should contact the
Services for Students with Disabilities office (SSD) to begin the process. (See http://www.uindy.edu/ssd for more
information).
Tentative Course Schedule
Week Week of Chapters Discussion
1 18-Sep 1 How the Market Works & Investment Settings
2 25-Sep 2 Security markets
3 2-Oct Mid-Autumn and National Day Holiday
4 9-Oct 3 Margin Accounts
5 16-Oct 4 Investment companies
6 30-Oct Midterm
7 23-Oct 7 Economic Activity and Industry Analysis
8 6-Nov 8 Discount Dividend Model
9 13-Nov 8 Discounted Cash Flow Modeling
10 20-Nov 14 Put and Call Options
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11 27-Nov 9 Behavioral finance and Technical Analysis
12 4-Dec Catchup and Review
13 11-Dec Final
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