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National College Credit Recommendation Service

Board of Regents  |  University of the State of New York

LOMA | Evaluated Learning Experience

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Investment Principles and Institutional Investing (LOMA 356)

(Principles of Investment and Introduction to Institutional Investing)

Varies-independent study.

Independent study and proficiency examination program administered from the central offices of LOMA.

July 2004 - May 2013. 

Instructional delivery format: 
Proficiency exam
Learner Outcomes: 

Upon successful completion of the course, students will be able to: describe the investment environment and the general principles of investing in individual securities and portfolios of securities; explain how investment performance is reported, monitored, and analyzed; discuss how the risk-return tradeoff setting and implementing investment goals; discuss the following aspects of institutional investing; roles of investment professionals, investment information systems, investment accounting and controls, investment compliance, and management of general and separate account portfolios.


This course covers the investment environment and the general principles of investing in both individual securities and portfolios of securities, setting and implementing investment goals in light of the risk-return trade-off, and investing in an institutional setting, including roles, administrative systems and processes, goal setting, performance reviews, and risk management. Topics include: the role and scope of investments; investment markets and transactions; online investing, information, and trading; investment return and risk; modern portfolio concepts; bond investments; bond valuation and analysis; common stock investments; stock valuation and investment decisions; mutual funds; institutional asset allocation; management of the investment function in institutions; marketing investing services to businesses and other institutions; accounting for investment expenses, managing transaction expenses; institutional approaches to risk management; investment compliance, prospectuses, registration, declaration of interest rates.  

Credit recommendation: 

In the upper division baccalaureate degree category, 3 semester hours in Financial Services (12/04) (3/10 revalidation).