This 3-page syllabus outlines the key details of the FIN 383 Financial Markets and Institutions course. The course will be taught over 15 weeks on Monday evenings and cover topics including financial markets, debt instruments, stocks, and the roles of commercial banks, mutual funds, and other financial institutions. Students will be evaluated based on in-class participation, quizzes, a final paper, midterm exam, and final exam. The course aims to provide students with fundamental concepts of financial markets and institutions, and to track market activity and predict performance.

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FIN 383 – 80 (CRN# 26319)
Financial Markets and Institutions
Syllabus
COURSE INFORMATION:
Spring 2016 Office Hours: By appointment
Course Credit Hours: 3 Office Location: Adjunct Office WB 11th
Meeting Time: Mon 6:00 pm – 8:30 pm
Classroom: TBA
Instructor: Andrew Paul Acosta
Telephone: (888) 316-8499
Email: aacosta@roosevelt.edu
TEXT:
Madura, Jeff. Financial Markets and Institutions. Cengage Learning. Stamford, CT, 2015,
ISBN-13: 9781133947875
OPTIONAL:
I will make occasional references to outside sources, many of which I distribute on Blackboard.
Two books that I will refer to are optional, but also relevant to this course are,
Silver, Nate. The Signal and the Noise Why so Many Predictions Fail--but Some Don't. [Pbk. ed.
New York: Penguin Books, 2015.
Steiner, Christopher. Automate This: How Algorithms Took over Our Markets, Our Jobs, and the
World. Paperback ed. Portfolio/Penguin, 2012.
CATALOG DESCRIPTION:
FIN 383 - FIN MKTS & INSTITUTIONS
Financial intermediaries and markets from the perspective of the functioning of the financial
system. Theories explaining the existence of intermediaries. Regulation of intermediaries and
markets.
PREREQUISITES:
FIN 301 (with a min grade of C-)
AND FIN 311 (with a min grade of C-)
AND FIN 321 (with a min grade of C-)

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COURSE OBJECTIVES:
This course provides the fundamental concepts of financial markets in debt instruments (e.g.
commercial paper, notes, bonds), stocks, financial futures, options, and swaps. Tracking market
activity and predicting future performance is a vital objective. Additionally, this course examines
the role and operations of commercial banks, thrifts, mutual funds, and pension firms.
STUDENT LEARNING OBJECTIVES:
The university’s three overall learning goals for both undergraduate and graduate students are:
ü Goal: Effective communication.
ü Goal: Knowledge of disciplined-focused content.
ü Goal: Awareness of social justice and engagement in civic life.
COURSE REQUIREMENTS:
Student success results from an understanding of assigned reading materials, lectures, class
exercises and discussions. Class attendance and participation, as well as the timely completion
of all assignments/projects, are required components in this process.
COURSE FORMAT:
This course will include online discussion, homework, quizzes, exams, and class participation.
Students are expected to be well prepared for each class meeting and be able to provide insightful
opinions into the discussions. Most of the content will be available on Blackboard for download.
GRADING CRITERIA:
In-Class Participation............................................................................................................... 10%
Quizzes.................................................................................................................................... 10%
Final Paper .............................................................................................................................. 20%
Midterm Exam.......................................................................................................................... 20%
Final Exam .............................................................................................................................. 40%
TOTAL................................................................................................................................... 100%
GRADING SCALE:
93.0% - 100.0% A 73.0% - 76.9% C
90.0% - 92.9% A- 70.0% - 72.9% C-
87.0% - 89.9% B+ 67.0% - 69.9% D+
83.0% - 86.9% B 63.0% - 66.9% D
80.0% - 82.9% B- 60.0% - 62.9% D-
77.0% - 79.9% C+ 59.9% & BELOW F
BLACKBOARD WEBSITE:
You are required to log into Blackboard on a regular basis because it is the forum that serves as
the primary means of communication with the class. All handout reading, quizzes, and exams
are distributed and scored through Blackboard. You will submit your finance paper through a
process called Turnitin, which measures the paper’s level of originality as a measure against
plagiarism. It also makes observations on grammar, style, syntax, mechanics, and spelling. At
least one online discussion will be created on Blackboard, for which you are required to
participate for full credit in the in-class participation score. It is strongly advised that you
proofread your written work and comply with editorial standards.
ATTENDANCE POLICY:
Because the classroom experience is an essential part of the course work, students are
expected to attend every class. However, should a student miss a class, they are solely
responsible to demonstrate a grasp and understanding of the concepts covered in the missed
session in all subsequent classes. If a class is missed, it is the student’s responsibility to obtain

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notes and assignments from another student. Coming to class late is a distraction to both the
students and to the instructor.
BUSINESS ETHICS:
Ethics is a vital part of any business venture, and will be discussed during any lectures
regarding financial decision-making, particularly in Weeks 3, 10, and 13. There will be case-
based ethics questions posed to the class.
IN-CLASS PARTICIPATION POLICY: (10% of Final Grade)
Students will earn full participation credit through their continual punctuality, attentiveness,
coming to class prepared with the assigned text, completed homework, and appropriate
handouts. Please minimize talking between students during class. Students will be expected to
participate in the class when the assignments are being discussed. Since course content is
distributed via the Blackboard website, you are expected to log in at least once per week and
participate in all online discussion forums by asking or answering questions posed in the forum.
If you have a cell phone or pager in class, be sure that it is turned off or on silent mode. Ringing
or vibrating phones and pagers are a major distraction in class. This may result in a lower
grade.
QUIZZES: (10% of Final Grade)
There will be quizzes throughout the semester and are based on information covered in the
class lectures and discussions, as well as in the assigned reading material. Quizzes will be
available online via Blackboard.
COMPREHENSIVE ANALYSIS PROJECT: (20% of Final Grade)
In the Madura (2015) text, Appendix A: Comprehensive Project (p. 705), are the details for the
semester project. The first part is gathering financial data from various sources and recording it
in Microsoft Excel. At the end of the term, you will gather the same data, but updated over time.
You will be introduced to web databases of financial data and time series as well. Second, you
will be assigned weekly questions from the text in Appendix A, particularly in Part II: Applying
Financial Institutions Concepts. This is vital because the numbers alone tell us very little, yet the
application of the data, the analysis, gives us insight into markets. Third, we will do some stock
performance analysis in Part III: Measuring Stock Performance using Microsoft Excel, or more
advanced tools that are available for no charge. The paper will be submitted in Blackboard
using the Turnitin software. Turnitin checks the grammar, usage, and amount of original content
in a submitted paper. When you cite a reference, your citations and bibliography will be
compliant with the APA Publication Manual, or The Chicago Manual of Style.
The instructor reserves the right to modify this syllabus if necessary.

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Class Schedule
CLASS ONE January 25, 2016
Overview of the Financial Environment (Ch 1)
CLASS TWO February 1, 2016
Determination of Interest Rates (Ch 2)
Structure of Interest Rates (Ch 3)
Debt Security Markets (Ch 6)
CLASS THREE February 8, 2016
Functions of the Fed and Monetary Policy (Ch 4, 5)
Bond Markets (Ch 7)
Bond Valuation and Risk (Ch 8)
CLASS FOUR February 15, 2016
Mortgage Markets (Ch 9)
Stock Offerings and Investment Monitoring (Ch 10)
Stock Valuation and Risk (Ch 11, 12)
CLASS FIVE February 22, 2016
Financial Futures Markets (Ch 13)
Option Markets (Ch 14)
CLASS SIX February 29, 2016
Swap Markets (Ch 15)
Foreign Exchange Derivatives (Ch 16)
CLASS SEVEN March 7, 2016
SPRING BREAK
CLASS EIGHT March 14, 2016
Midterm self-examination: p. 466
MIDTERM EXAM
CLASS NINE March 21, 2016
Commercial Bank Operations (Ch 17)
CLASS TEN March 28, 2016
Bank Regulation (Ch 18)
Bank Management (Ch 19)
CLASS ELEVEN April 4, 2016
Bank Performance (Ch 20)
Thrift Operations (Ch 21)
CLASS TWELVE April 11, 2016
Finance Company Operations (Ch 22)

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CLASS THIRTEEN April 18, 2016
Mutual Fund Operations (Ch 23)
Securities Operations (Ch 24)
CLASS FOURTEEN April 25, 2016
Insurance and Pension Fund Operations (Ch 25)
CLASS FIFTEEN May 3, 2016
final self-examination: p. 700
FINAL EXAM
The Topical Outline is subject to change.
Students will be informed in class of changes to this Outline.

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Policies
The Program Learning Goals for the Undergraduate Program are below:
Goals Category and Focus Objectives: Our BSBA graduates will…
Basic principles of business
disciplines: Our graduates will possess
knowledge across business disciplines
Demonstrate an understanding of the
knowledge across the basic business
disciplines (i.e., finance, marketing, human
resources, teamwork, ethics, etc.)
Analytical and Quantitative Skills: Our
graduates will possess appropriate analytical
and quantitative skills
Exhibit understanding and application of
the basic analytical and quantitative
techniques/skills used in business
Use of Technology: Our graduates will be
current on the use of technology
Demonstrate an ability to effectively use
technology in business
Written and Oral communication: Our
graduates will be effective communicators
Exhibit an understanding and application of
effective written and oral communication
skills
Global Issues Awareness and
Knowledge: Our graduates will be aware of
global issues, e.g. understand the importance
of behaving ethically
Demonstrate awareness and knowledge of
one or more global issues such as diversity,
sustainability and/or ethics.
Academic dishonesty: The university’s policies on issues such as plagiarism,
recycling, cheating and other forms of academic dishonesty can be found in the student
handbook, which is available as a link here:
http://www.roosevelt.edu/CurrentStudents.aspx . Additional guidelines for avoiding
plagiarism are available here:
http://www.roosevelt.edu/Provost/Faculty/AcademicIntegrity.aspx
Disability: Roosevelt University complies fully with the Americans with Disabilities Act. Details
about ADA and Roosevelt’s policies and practices are found in the following link:
http://www.roosevelt.edu/StudentSuccess/Disability/Discrimination.aspx If you have a condition
or disability that requires reasonable accommodation, please alert your instructor or the
Academic Success Center as soon as possible, certainly before any assignment or classroom
activity that requires accommodation. The Academic Success Center is located in AUD 128
in Chicago, and the phone number is 312-341-3818. In Schaumburg, the office is in room
125, and the phone number is 847-619-7978. Email Nancy Litke at nlitke@roosevelt.edu or
Danielle Smith at dsmith51@roosevelt.edu .
Withdrawal date: The final date for an official withdrawal from this class (meaning a
“W” would appear on your transcript) is Tuesday, Oct. 27. After that, if you want to
withdraw, you’ll need to petition the registrar. Petitions are granted only for non-
academic reasons after the deadline. If you receive financial aid, it’s best to check with
your counselor to assure that aid isn’t affected by withdrawing from a class. The
complete withdrawal policy is here:
http://www.roosevelt.edu/Registrar/Registration/Drop.aspx
Religious holidays: Please let your instructor know as soon as possible if you will miss
class because you are observing a religious holiday. Roosevelt University policy

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requires written notification to me within the first two weeks of the term. Any work you
miss because of a religious holiday can be made up. You can see the full policy here:
http://www.roosevelt.edu/Policies/ReligiousHolidays.aspx
Student Code of Conduct: Students enrolled in the university are expected to conduct
themselves in a manner compatible with the university’s function as an educational
institution. http://www.roosevelt.edu/StudentSuccess/Conduct.aspx
Resources
Academic Success Center: Disability Services, Peer Mentor Program, Tutoring
Chicago campus: room 128 of the Auditorium Building, (312) 341-3818.
Schaumburg campus: room 125, 847-619-7978. Email Nancy Litke at nlitke@roosevelt.edu
or Danielle Smith at dsmith51@roosevelt.edu .
Advising: Most undergrads; CCPA, Education, Honors and Hospitality Management
students are advised in their programs.
Chicago campus: room 1M10 Wabash Building, (312) 341-4340.
Schaumburg campus: SCH 125; (847) 619-7930
Blackboard Support, Training and Quick Guides: The Blackboard course management
system is supported by the RUOnline staff and by the Roosevelt University Help Desk.
Quick guides: http://www.roosevelt.edu/RUOnline/Students/BbTutorials.aspx
Training: http://www.roosevelt.edu/RUOnline/Students/BbTraining.aspx
Help desk: http://roosevelt.parature.com/ics/support/default.asp?deptID=15161
RUOnline: http://www.roosevelt.edu/RUOnline/ContactUs.aspx
Campus Safety:
Auditorium Building: (312) 341-2020
Gage Building: (312) 341-3111
Schaumburg campus: (847) 619-8989
Computer labs: A list of open labs is located here:
http://www.roosevelt.edu/ITS/labs.aspx
Counseling Center: Individual counseling, as well as group and couples counseling.
Chicago campus: room 470 Auditorium Building, (312) 341-3548
Schaumburg campus: room 114, (312) 341-3548
Financial Aid: Chicago campus: Mezzanine, Wabash Building, (866) 421-0935;
FAO@roosevelt.edu Schaumburg campus: room 125, (866) 421-0935;
FAO@roosevelt.edu

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Library: Find everything you need to know at http://www.roosevelt.edu/Library.aspx
about the Auditorium Building library, the Schaumburg library and the Performing
Arts library.
Registrar: Registration, drop/add, withdrawal, transcripts, credit evaluation, graduation.
Chicago campus: Mezzanine floor, Wabash Building, (312) 341-3535;
registrar@roosevelt.edu
Schaumburg campus: room 125, (847) 619-7950; registrar@roosevelt.edu
RUWiFi: To access the university’s wireless network, either email
helpdesk@roosevelt.edu or call (312) 341-4357 for the connection key.
Writing Center: Tutors work with students on their writing, in person and online.
Chicago campus: room 442 Auditorium Building; (312) 341-2206;
writingcenter@roosevelt.edu