Finance 300 Courses

FIN 310   Personal Financial Management (3 units)
Financial problems of the household in allocating resources and planning expenditures. Housing, insurance, installment buying, medical care, savings and investments. Special financial planning problems faced by minorities and women. May not be used to fulfill the concentration requirement in finance.

FIN 320   Financial Management I (3 units)
Prerequisite:  Accounting 201A, Corequisite: InfoSys/DecSci 361A and Business Admin 301.

Financial statement analysis. Interest rates and valuing cash flows (TVM; valuing stocks and bonds). Investment decision rules and capital budgeting. Risk and return (CAPM) and cost of capital. One ore more sections may be offered in any online format.

FIN 321   Financial Management II (3 units)
Prerequisite:  FIN 320

Brief review of valuing cash flows, risk/return and capital budgeting. Long-term financing, capital structure and payout policy, financial planning and forecasting, with a focus on firm valuation. Additional topics if time permits. One or more sections may be offered in any online format.

FIN 331   Working Capital Management and Computer Applications (3 units)
Prerequisite: FIN 320, Corequisite: FIN 321

Analysis of working capital management and policy, liquidity measurement, sources of financing for periods of cash deficits; management of accounts receivable and inventories; financial forecasting and short-term financing.

FIN 335   Financial Analysis for Investors and Lenders (3 units)
Prerequisite: FIN 320, Corequisite: FIN 321

Interpretation of financial statement from the perspective of the financial analyst and creditor. Economic meaning of financial statement data for the purpose of evaluating a company’s financial performance.

FIN 340   Introduction to Investments (3 units)
Prerequisite: FIN 320, Corequisite: FIN 321

Institutional characteristics of securities markets, security valuation and trading methods, fundamental and technical analysis, selection and management of securities, role of the capital asset pricing model in investing, options and futures markets, portfolio analysis and mutual funds.

FIN 342   Capital and Money Markets (3 units)
Prerequisite: FIN 320, Corequisite: FIN 321

Capital and money markets in the American and international economies; markets for new corporate and government issues; secondary markets; use of derivative securities for hedging; factors influencing yields and security prices.

FIN 351   Real Estate Principles (3 units)
Prerequisite:  FIN 320

Real estate principles, practices and investment decisions. Equity investment, finance, legal aspects, practices, principles, property development, real estate administration in the public sector, real estate market analysis, and valuation.

FIN 352   Real Estate Finance (3 units)

Corequisite:  FIN 351

Financial institutions and real estate credit. Sources and uses of capital (funds) in financing real estate transactions. Money and capital markets and their effect on credit availability. Mortgage mechanics and the workings of both primary and secondary markets.

FIN 353   Real Estate Valuation (3 units)
Corequisite:  FIN 351

Comprehensive coverage of the basic concepts and principles of real estate valuation. Use of the three approaches to valuation for the appraisal of both residential and income-producing properties. Role of valuation in real estate investment. Government regulation of appraisers.

FIN 355   Real Estate Investment Analysis (3 units)
Prerequisite:  FIN 351

Alternative analytical techniques in evaluating real estate investments. Tax aspects, measurement of investment returns, application of computer models to investment decisions. Lecture, discussion and case analysis of major investment types – raw land, apartment houses, commercial and industrial uses.

FIN 360   Principles of Insurance (3 units)
Prerequisite:  FIN 320

Analysis of the risk management process, introduction to property and liability insurance, employee benefits and financial planning. Overview of the insurance industry and insurance problems. One or sections may be offered in any online format.

FIN 361   Insurance Company Operations (3 units)
Prerequisite:  FIN 360

Course surveys the overall structure and functions of insurance companies and reviews all major insurance company functional areas. It also examines the two major markets in which businesses and individuals may obtain insurance: admitted lines and non-admitted lines. One or more sections may be offered in any online format.

FIN 370   International Business Finance (3 units)
Prerequisite:  FIN 320

Financing problems of the multinational business. International financial environment, taxation of foreign income, the cost of capital in international capital and money markets, problems of risk in foreign investments, and financial techniques for the operation of the multinational firm. One or more sections may be offered in any online format.

FIN 371   Export-Import Financing (3 units)
Prerequisite:  FIN 320

Institutional arrangements, methods and techniques used to finance international trade. Government and financial institution services. Risk-return aspects of international sales, insurance needs, the use of letters of credit, international factoring, accounts receivable insurance and other financing techniques. Review of required export-import documentation.

FIN 373   Asia-Pacific Financial and Security Markets (3 units)
Prerequisite:  FIN 320

Overview of financial markets in Japan, Korea, Taiwan, China, Hong Kong, Singapore and Southeast Asia. Historical perspectives, regulations, more recent liberalization and internationalization, and institutional technical aspects of the stock, bond and other financial markets.

FIN 375   Global Risk Management and International Finance (3 units)
Prerequisite:  FIN 370

Loss control within the field of global insurance and risk management to provide knowledge for the practical application of international financial risk management principles techniques and methods utilized in multinational corporations and governmental organizations operations.

 

Finance 400 Courses

FIN 400   Property Management ( 3 units)
Prerequisite:  FIN 351

The management of income-producing real estate assets, including marketing, leasing, operations, and asset management functions.

FIN 408   Retirement Planning ( 3 units)
Prerequisite:  FIN 320

Retirement savings and income planning from the perspective of a Certified Financial Planner practitioner. Required in order to take the CFP Certification Examination. Considerable discussion of federal legislation controlling retirement planning.

FIN 409   Estate Planning ( 3 units)
Prerequisite:  FIN 320

Estate planning from the perspective of a Certified Financial Planner practitioner. Required in order to take the CFP Certification Examination. Considerable discussion of federal legislation controlling estate planning.

FIN 410   Theory and Practice of Personal Financial Planning ( 3 units)
Prerequisite:  FIN 340; Corequisite: FIN 360, FIN 408 and FIN 409

Developing, implementing and monitoring comprehensive personal financial plans. Risk management, investments, taxation, retirement and estate planning, professional practices.

FIN 415   Quantitative Theory of Interest ( 3 units)
Prerequisite:  FIN 320

The theory of interest in both finite and continuous time; the use of various annuity functions as a basis for reserving, valuation, pricing, duration, asset/liability management, amortization schedules and measurement of fund performance; term structure of interest rates.

FIN 425   Commercial Bank and Financial Institution Management ( 3 units)
Prerequisite:  FIN 320 with a “D” (1.0) or better, not CBE pre-major or undecided/undeclared major; or CBE graduate standing and not pre-MBA; Corequisite: FIN 321

Financial institution problem solutions. Major financial intermediaries and the decision-making problems they face. Regulation and its effect on management operations. Group problems and case studies.

FIN 432   Financial Forecasting and Budgeting ( 3 units)
Prerequisite:  FIN 320 with a “D” (1.0) or better, not CBE pre-major or undecided/undeclared major; or CBE graduate standing and not pre-MBA. Corequisite: FIN 321.

Forecasting in financial management; profit planning and control process; goals, technical procedures and effects of budgeting; mechanics of forecasting and budgeting, follow-up and control.

FIN 433   Problems in Business Finance ( 3 units)
Prerequisite:  FIN 321

Group problems and case studies relating to estimation of funds requirements, long-term financial planning, evaluation of cash flows, financing acquisitions and mergers, capital budgeting and cost of capital. Team-building, leadership and computer-assisted presentation skills. Not applicable for graduate degree credit.

FIN 435   Capital Markets and Fixed Income Analysis ( 3 units)
Prerequisite:  FIN 320 or FIN 517, not CBE pre-major or undecided/undeclared major; or CBE graduate standing and not pre-MBA. Corequisites: FIN 340 or FIN 541.

Fixed income markets, including the price dynamics and risk profiles of various fixed-income securities, derivatives, yields, duration, credit analysis of bonds, portfolio management strategies, calculating performance and identifying factors driving fixed-income returns.

FIN 440   Business Valuation, Mergers and Acquisitions ( 3 units)
Prerequisite:  FIN 321 and not CBE pre-major or undecided/undeclared major; or FIN 517 and CBE graduate standing and not pre-MBA.

Valuation, especially for mergers and acquisitions. Valuation methods and their application in mergers and acquisitions. May not receive credit for both FIN 440 and FIN 540.

FIN 442   Advanced Investment Analysis ( 3 units)
Prerequisite:  FIN 340 and InfoSys/DecSci 361A

Securities markets and company analysis, security valuation models, the CAPM and the APT, option pricing and portfolio models. Practical application of investment theory and recent literature. May not receive credit for both FIN 442 and FIN 541.

FIN 443   Advanced Investment Analysis II ( 3 units)
Prerequisite:  FIN 442

Build and maintain portfolios of actual endowment funds using security and industry analyses in the Applied Security Analysis Program (ASAP). Second in two-semester sequence.

FIN 444   Options And Futures ( 3 units)
Prerequisite:  FIN 340 and not CBE pre-major or undecided/undeclared major; or CBE graduate standing and not pre-MBA.

Put and call options, option pricing theory and models. Financial futures pricing, hedging strategies and models. Institutional characteristics of futures trading. Options and futures on stock indices. Options on futures, theoretical relationship between options and futures.

FIN 451   Real Estate Practice ( 3 units)

Prerequisite: FIN 351 or graduate standing

Professional aspects of real estate business, overview of the real estate industry, ethics, licensing, contracts, forms, disclosure documents, listing properties, handling offers, closing sales transactions; financing, escrow, title and taxation issues; and 1031 exchanges requirements for investment property.

FIN 452   Legal Aspects of Real Estate ( 3 units)
Prerequisite: FIN 351 or graduate standing

Overview of early to modern legal principals and how they apply to real estate transactions ownership, title, escrow, brokerage, contracts, financing, landlord/tenant issues and government regulation.

FIN 454   Real Estate Economics ( 3 units)
Prerequisite:  FIN 351

Factors and influences of urban growth and development. Economic factors and real estate supply and demand. Location theory and urban growth patterns. Public policy as a factor in real estate development. Analysis of real estate markets.

FIN 461   Business Property and Liability Risk Management ( 3 units)
Prerequisite:  FIN 360

Duties and functions of a corporate risk manager, the major commercial property liability lines, including business income, general liability, commercial auto workers compensation, business owner insurance and operation of property liability insurers. One or more sections may be offered in any online format.

FIN 462   Life And Health Insurance ( 3 units)
Prerequisite:  FIN 360

Analyze various types of life annuity and health insurance contracts, major employee benefit plans adopted by corporations, and the organization and management of life and health insurance companies.

FIN 463   Professional Ethics, Corporate Compliance and Regulation ( 3 units)
Prerequisite:  FIN 320, MGMT 246, not CBE pre-major or undecided/undeclared major; or CBE graduate standing and not pre-MBA.

How organizations can best assess and manage their exposure to legal, regulatory and ethical issues through corporate compliance programs. One or more sections may be offered in any online format.

FIN 464   Insurance Marketing and Distribution Strategies ( 3 units)
Prerequisite:  FIN 320 or MKTG 351 with a D (1.0) or better, not CBE pre-major or undecided/undeclared major; or graduate standing and not pre-MBA.

Practices and procedures involved in insurance marketing and distribution. Analyzes insurance marketing environment, marketing strategies and product promotion; introduction to insurance distribution channels and sales force management. (FIN 464 and MKTG 464 are the same course)

FIN 489   Advanced Financial Analysis with Excel ( 3 units)
Prerequisite: Completion of one 400- level finance course. *Course not available for Graduate Credit*

Principles of finance (and related departmental disciplines) by blending theory and practice with the use of Excel in either projects or case studies in group and individual assignments.

FIN 495   Internship ( 3 units)
Prerequisite:  FIN 320 and 2.5 GPA; or graduate standing.

A supervised experience where financial principles or methods are applied in a fieldwork setting. Mandatory class meetings for students to discuss their experience and integrate financial practice. Sections for other concentrations within the department will include application of relevant principles. May be repeated for a maximum of 6 units.

FIN 499   Independent Study ( 1-3 units)
Prerequisite:  FIN 321, FIN 340, and consent of the department chair.

Open to undergraduate students desiring to pursue directed independent inquiry. May be repeated for a maximum of 6 units. Not open to students on academic probation.

 

Finance 500 Courses

FIN 517   Managerial Finance ( 3 units)
Prerequisite:  ACCT 510 and not pre-MBA.

Modern theory and practice of financial management. Net present value and the time value of money. Basic principles of risk and return. Capital budgeting and forecasting. Capital structure and dividend theory. Firm valuation from a value-based management and corporate governance perspective. One or more sections may be offered in any online format.

FIN 523   Seminar in Corporate Financial Management ( 3 units)
Prerequisite:  FIN 517 and not Pre-MBA

Analyze financial decision-making process through case studies and seminar presentations. Current financial theory and models. International applications.

FIN 525   Corporate Governance ( 3 units)
Prerequisite:  FIN 517 and not Pre-MBA

Fundamental concepts of corporate governance. Topics include the definition of corporation, roles and responsibilities of shareholders, directors and managers, and strategies to structure the interactions of these parties to help minimize agency costs.

FIN 528   Seminar in Financial Economics ( 3 units)
Prerequisite:  FIN 517

Valuation or corporate liabilities and other securities. Economic decision-making under uncertainty and asset pricing theories are analyzed rigorously. Other topics may include optimal capital structure, the market for corporate control, or macroeconomics aspects of finance. (ECON 528 and FIN 528 are the same course.)

FIN 533   Seminar in Financial Administration ( 3 units)
Prerequisite:  Prerequisites: FIN 517 and classified CBE status

Optimal financing and asset administration; advanced techniques of capital budgeting; application of analytical methods to the administration of the finance function of the business firm. One or more sections may be offered in any online format.

FIN 540   Seminar in Business Valuation, Mergers and Acquisitions ( 3 units)
Prerequisite:  FIN 517

Issues and techniques related to business valuation and mergers and acquisitions. May not receive credit for both FIN 440 and FIN 540

FIN 541   Seminar in Investment Management ( 3 units)
Prerequisite:  FIN 517 or equivalent and classified CBE status

Problems of investment and portfolio management; concepts of risk evaluation and investment criteria; analysis of interest rate movements; investment valuation and timing; regulation and administrative problems of the industry. May not receive credit for both FIN 442 and FIN 541.

FIN 542   Seminar in Financial Engineering ( 3 units)
Prerequisite:  FIN 444

Theoretical basis of certain financial models, including binomial tree models and risk-neutral valuation in discrete time, Brownian motion and risk-neutral valuation in continuous time, Black-Scholes option pricing models and various interest rate models.

FIN 543   Entrepreneurial Finance ( 3 units)
Prerequisite:  FIN 517, Accounting 510, and Accounting 511

Financing a new/small firm, including forecasting the firm’s investment needs, raising short-term funding and banking relationships, managing working capital, making fixed asset investments and managing risk.

FIN 551   Seminar in Real Estate Investment ( 3 units)
Prerequisite:  FIN 517 or equivalent and classified CBE status

Problems of real estate investment; concepts of evaluation and investment criteria; analysis of real property values; real estate development and financing. Case studies.

FIN 560   Corporate Risk Management and Insurance Seminar ( 3 units)
Prerequisite:  FIN 517

Managing risks that confront firms; how they are managed with diversification, capital structure, loss control, corporate governance, and how they are financed with commercial insurance contracts; analyzes market and instruments created to enable corporations to manage downside risks.

FIN 561   Financial Risk Management Seminar ( 3 units)
Prerequisite:  FIN 444 and FIN 517; OR student in MS FERM program

Financial risk management from an institutional, regulatory and modeling perspective. Market and credit risk. Modeling, simulation and estimating risk techniques. Value at Risk and expected shortfall. Risk regulations, including Basel I and II, Solvency II. Case studies.

FIN 562   Enterprise Risk Management (ERM) ( 3 units)
Prerequisite:  FIN 517

ERM framework with the integration of pure, financial, strategic and operational risks. Discusses seven building blocks for developing an ERM program. Legal and regulatory environment, technical tools and future prediction on ERM.

FIN 570   Seminar in International Financial Management ( 3 units)
Prerequisite:  FIN 517 or equivalent and classified CBE status

Financial problems of the multinational firm. International financing instruments, capital investment decisions and constraints on the profitability of multinational businesses.

FIN 597   Project ( 3 units)
Prerequisite:  FIN 517 or equivalent and classified CBE status, consent of instructor and approval by Department Chair.

Directed independent inquiry. Not open to students on academic probation. May be repeated once for credit.

FIN 599   Independent Graduate Research ( 1-3 units)
Prerequisite:  FIN 517 or equivalent and classified CBE status, consent of instructor and approval by Department Chair and Associate Dean.

May be repeated for a maximum of 6 units. Not open to students on academic probation.
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