All Rights ReservedDr. David P. Echevarria1 ECN 324 Phase 3 Exam Review Chapters 17 - 25.

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All Rights ReservedDr. David P. Echevarria1 ECN 324 Phase 3 Exam Review Chapters

All Rights ReservedDr. David P. Echevarria2 Commercial Bank Operations [17] 1.Bank Sources of Funds? 2.Bank Uses of Funds? 3.What is the role of Federal Funds? 4.What is a REPO agreement? 5.Where do banks keep their reserves? 6.What is the prime rate? Who gets it?

All Rights ReservedDr. David P. Echevarria3 Bank Regulation [18] 1.Who regulates national banks? State banks? 2.What is Regulation Q? 3.What are the main implications of the Basel accords? 4.What banks are required to insure deposits with FDIC? 5.What does CAMEL stand for and its use in bank oversight?

All Rights ReservedDr. David P. Echevarria4 Bank Management [19] Bank Performance [20] 1. How do banks experience illiquidity? 2. What is the GAP and in what two ways do banks measure it? When is the bank in trouble? 3. How can banks reduce their capital requirements? 4. How do banks manage credit risk? 5. How many different ways do banks earn money?

All Rights ReservedDr. David P. Echevarria5 Thrift Operations [21 ] 1.What is the primary source of funds for thrift institutions? 2.Who regulates savings institutions? 3. What term is applied to a bank that is owned by its depositors? 4.What is the role of the Central Liquidity Facility? 5.What do credit unions require to be a member?

All Rights ReservedDr. David P. Echevarria6 Finance Company Operations [22] 1.How do Consumer finance companies differ from business finance companies? 2.Where do finance companies get their funds? 3.What are the three main sources of risk faced by all lenders?

All Rights ReservedDr. David P. Echevarria7 Mutual Fund Operations [23] 1.How do open-end funds differ from closed- end funds? 2.What is Net Asset Value (NAV) and how does it relate to mutual funds? 3.What are index funds? 4.What are REITs? 5.How do Venture Capital funds differ from Mutual Funds?

All Rights ReservedDr. David P. Echevarria8 Securities Operations [24 ] 1.What are the four primary functions of investment bankers? 2.What does the term "underwrite" mean to an issuer of securities? 3.How does a registration statement differ from a prospectus? 4.What federal agency regulates margin requirements? 5.What is the most important effect of the Financial Services Modernization Act (1999)?

All Rights ReservedDr. David P. Echevarria9 Insurance and Pension Fund Operations [25 ] 1.How does a term insurance differ from whole life insurance? 2.Why are insurance companies so sensitive to interest rate fluctuations? 3.What function does the NAIC perform? 4.How do defined benefit plans differ from defined contribution plans?