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Mutual Fund Business

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ISBN-10: 0618166106

ISBN-13: 9780618166107

Edition: 2nd 2002

Authors: Robert C. Pozen, Sandra D. Crane

List price: $227.95
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Pozen, a leading industry expert, offers a structured presentation of mutual funds for upper-level undergraduates and MBA students. The Mutual Fund Business, 2/e, covers the key principles of mutual fund investment theory through straightforward writing supported by selected articles and case studies.This text provides a comprehensive, firsthand look at the investment strategies supporting a $4 trillion industry undergoing significant growth in the U.S.
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Book details

List price: $227.95
Edition: 2nd
Copyright year: 2002
Publisher: CENGAGE Learning
Publication date: 12/26/2001
Binding: Paperback
Pages: 608
Size: 7.75" wide x 9.75" long x 1.00" tall
Weight: 2.288

Note: Each chapter contains Review Questions
Discussion Questions, and Notes
Structure, Measurement and Regulation of Mutual Funds
Indirect Investing Through Mutual Funds
Mutual Funds versus Individual Securities
Mutual Funds: History and Current Trends
The Structural Characteristics of Mutual Funds and Commercial Banks
Money Managers and Securities Research
The End of Behavioral Finance
Industry Profile: How the Commercial Banking Industry Operates
Case Study: Analyzing Credit Issues in a Money Market Fund
Choosing Among Mutual Funds
Types of Nonstock Funds
Stock Funds
Alternatives to Mutual Funds (Other Pooled Investment Vehicles)
Allocating Assets Among Mutual Funds
Regulation and Disclosure for Mutual Funds
Classification and Taxation
Disclosure and Advertising Rules Callout
Box: Investment Company Institute
Internet and Privacy Callout
Box: Electronic Signatures
Substantive Regulation
Independent Directors Callout
Box: Advisory Group on Best Practices for Directors
Enforcement and Ethical Codes Callout
Box: Blue Ribbon Advisory Group on Personal Investing
Advertising the Fund
Designing a Short-Form Prospectus
Portfolio Management and Equity Trading
Portfolio Management of Bonds
Bonds: Tradable IOUs Callout
Box: Information on High Yield Bonds Callout
Box: Evolution of an Alternative Benchmark
Managing a Bond Mutual Fund Callout
Box: FINOVA: A Divergence Between Rating Agencies and the Market
Roles of Investment Professionals Callout
Box: Liquidity Risk of High Yield Municipal Bonds Callout
Box: A Successful Call by a Credit Analyst
Case Study: Trustworthy Municipal Bond Fund
Portfolio Management of Stocks
Overview of Equity Securities
Equity Research Callout
Box: The ""Head and Shoulders"" Top in IBM: Technical Research in Action Callout
Box: Trying to Differentiate Between Rumor and Fact Callout
Box: When a Buy Is Not a Buy Callout
Box: The Cost of an Earnings Miss Can Be High
Portfolio Management Callout
Box: the Role of Investor Sentiment
Two Illustrative Approaches to Formula Valuations of Common Stocks
Case Study: Managing a Stock Fund
Brokerage Transactions for Mutual Funds
Overview of U.S. Equity Markets
Roles and Responsibilities of Mutual Fund Traders Callout
Box: Shopping a Block: Conversation at a Fund Trading Desk
Fiduciary Responsibilities of a Mutual Fund Trader and Oversight by the Fund Board
The Buy Side Trading Desk (excerpt)
Case Study: Executing a Block Trade
Marketing of Mutual Funds
Intermediary Channel Callout
Box: Merrill Lynch: Changing with the Times
The Direct Channel Callout
Box: Vanguard Funds: The Low-Cost King
Cross Channel Trends
Case Study: Evaluating Strategies for Fund Distribution
Retirement Plans and the Fund Business
Structure of Tax-Qualified Retirement Plans Callout
Box: 2001 Pension Legislation Callout
Box: What Is ERISA?
Role of Mutual Funds in 401(k) Plans Callout
Box: Profile Prospectus
Other Types of DC Plans Callout
Box: TIAA-CREF and 403(b) Callout
Box: Shift from DB to DC in the Governmental Plan Market
The Future of Retirement Plans
Social Security: Basic Questions Answered
Grounds for Compromise: Competing Reform Proposals Are Closer Than They appear C. Eugene Steuerle and Adam Carasso
Designing an Investment Array for a 401(k) Plan
Servicing Fund
Functions of the Transfer Agent Callout
Box: A Fund Redemption Through a Broker-Dealer Callout
Box: Functions of the Pricing and Bookkeeping Agent Callout
Box: Phone Representatives and a Typical Customer Inquiry
Transfer Agents as an Industry
Pricing and Service Quality Callout
Box: Sample of Firms Measuring Mutual Fund Service
Case Study: Controlling Hot Money IV. Financial, Governance and Global Implications of Mutual Funds
Financial Dynamics of Mutual Funds
Expenses for Fund Investors
The Debate on Management Fee Revenue Callout
Box: Performance Fees as a Rarity
Structure of Fund Industry
Mergers and Acquisitions Involving Fund Sponsors Supplemental Information: Summary of Transactions Involving Fund Managers
Case Study: Balancing Interests in a Fund Merger
Mutual Funds as Institutional Investors
The Increasing Importance of Mutual Funds as Stockholders
Legal Framework
Voting Policies and Practices of Mutual Funds
Institutional Activism and Mutual Funds Callout
Box: The Battle for Control of Sallie Mae Callout
Box: T. Rowe Price Opposition to Cort Deal
Mutual Funds and Social Activism
Empirical Studies on Shareholder Activism
Corporate Governance Outside the United States Callout
Box: The War of the Handbags
Executive Compensation Program Guidelines
Institutional Investors: The Reluctant Activists
Shareholder Activism and Corporate Governance in the United States (excerpt)
Case Study: Fund Voting in a Proxy Fight 1
Internationalization of Mutual Funds
Overseas Investing U.S. Mutual Funds Callout
Box: Foreign Custody of Mutual Fund Assets Callout
Box: Changes to International Indexes
Cross-Border Asset Gathering Activities Callout
Box: China Fund Market Callout
Box: Mexico After NAFTA
Case Study: Transferring a Fund Business to a Foreign Country "