Solution Manual Financial Institutions Markets and Money 12e David S. Kidwell

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Solution Manual for Financial Institutions Markets and Money 12th Edition David S. Kidwell

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Solution Manual for Financial Institutions Markets and Money 12th Edition David S. Kidwell

Table of Contents

Chapter 1 An Overview of Financial Markets and Institutions 3

1.1 The Financial System 4

1.2 Financial Markets and Direct Financing 7

1.3 Types of Financial Markets 12

1.4 The Money Markets 14

1.5 The Capital Markets 15

1.6 Financial Intermediaries and Indirect Financing 17

1.7 Types of Financial Intermediaries 23

1.8 The Risks Financial Institutions Manage 28

1.9 Regulation of the Financial System 29

1.10 Ethics and the Financial System 33

Chapter 2 The Federal Reserve and Its Powers 38

2.1 Origins of the Federal Reserve System 39

2.2 The Current Structure of the Fed 44

2.3 Monetary Powers of the Board of Governors 47

2.4 The Fed’s Regulatory Powers 47

2.5 Independence of the Fed 51

2.6 The Fed’s Balance Sheet 53

2.7 The Fed’s Role in Check Clearing and the Growth of Electronic Payments 59

2.8 Federal Reserve Tools of Monetary Policy 61

Chapter 3 The Fed and Interest Rates 71

3.1 Federal Reserve Control of the Money Supply 72

3.2 The Fed’s Influence on Interest Rates 75

3.3 The Treasury Department and Fiscal Policy 79

3.4 Goals of Monetary Policy 82

3.5 The Fed and the Economy 88

3.6 Complications of Monetary Policy 91

3.7 Anatomy of a Financial Crisis 93

Chapter 4 The Level of Interest Rates 107

4.1 What are Interest Rates? 108

4.2 The Real Rate of Interest 109

4.3 Loanable Funds Theory of Interest 111

4.4 Price Expectations and Interest Rates 114

4.5 A Restatement of the Fisher Equation 116

PART II PEOPLE & EVENTS: Estimating the Expected Rate of Inflation from TIPS 122

4.6 Forecasting Interest Rates 122

4.7 Interest Rates and Currency Values 124

Chapter 5 Bond Prices and Interest Rate Risk 127

5.1 The Time Value of Money 128

5.2 Bond Pricing 131

5.3 Bond Yields 136

5.4 Important Bond Pricing Relationships 140

5.5 Interest Rate Risk and Duration 144

Chapter 6 The Structure of Interest Rates 159

6.1 The Term Structure of Interest Rates 160

6.2 Default Risk 172

6.3 Tax Treatment 176

6.4 Marketability 180

6.5 Options on Debt Securities 180

6.6 Behavior of Interest Rates over the Business Cycle 183

Chapter 7 Money Markets 191

7.1 How the Money Markets Work 192

7.2 Economic Role of the Money Markets 193

7.3 Features of Money Market Instruments 194

7.4 Treasury Bills 194

7.5 Federal Agency Securities 201

7.6 Federal Funds 203

7.7 Other Major Money Market Instruments 205

7.8 Money Market Participants 211

7.9 The Impact of the 2007–2008 Financial Crisis on the Money Markets 213

Chapter 8 Bond Markets 220

8.1 Functions of the Capital Markets 221

8.2 The U.S. Government and Agency Securities 223

8.3 State and Local Government Bonds 227

8.4 Corporate Bonds 232

8.5 Financial Guarantees 237

8.6 Securitized Credit Instruments 238

8.7 Capital Market Regulators 240

8.8 Bond Markets Around the World are Increasingly Linked 241

8.9 The Impact of the 2007–2008 Financial Crisis on the Bond Markets 242

PART III

Chapter 9 Mortgage Markets and Mortgage]Backed Securities 247

9.1 The Unique Nature of Mortgage Markets 249

9.2 Types of Mortgages 249

9.3 Mortgage Qualifying 257

9.4 Mortgage]Backed Securities 261

9.5 Mortgage Prepayment Risk and Other MBS 265

9.6 Participants in the Mortgage Markets 271

9.7 Relationship Between Mortgage Markets and the Capital Markets 275

Chapter 10 Equity Markets 279

10.1 What are Equity Securities? 280

10.2 Equity Markets 282

10.3 Equity Trading 287

10.4 Global Stock Markets 291

10.5 Large-Scale and High Frequency Trading 292

10.6 Regulation of Equity Markets 294

10.7 Stock Market Indexes 295

Chapter 11 Derivatives Markets 300

11.1 The Nature of Derivative Securities 301

11.2 Forward Markets 302

11.3 Futures Markets 304

11.4 Uses of the Financial Futures Markets 311

11.5 Risks in the Futures Markets 318

11.6 Options Markets 319

11.7 Swap Markets 326

Chapter 12 International Markets 332

12.1 The Difficulties of International Trade 333

12.2 Exchange Rates 334

12.3 Balance of Payments 337

12.4 Foreign Exchange Markets 341

12.5 Spot and Forward Transactions 343

12.6 Capital Flows and Exchange Rates 346

12.7 Government Intervention in Foreign Exchange Markets 351

12.8 Financing International Trade 354

12.9 International Money and Capital Markets 355

12.10 The Globalization of Financial Markets 358

Chapter 13 Commercial Bank Operations 365

13.1 An Overview of the Banking Industry 366

13.2 Balance Sheet for a Commercial Bank 369

13.3 The Source of Bank Funds 370

13.4 Bank Uses of Funds: Bank Investments and Cash Assets 376

13.5 Bank Uses of Funds: Loans and Leases 378

13.6 Loan Pricing 381

PART IV

13.7 Analysis of Loan Credit Risk 384

13.8 Fee]Based Services 386

13.9 Off]Balance]Sheet Banking 387

13.10 Bank Earnings 392

13.11 Bank Performance 396

Chapter 14 International Banking 400

14.1 Development of International Banking 401

14.2 Regulation of Overseas Banking Activities 404

14.3 Delivery of Overseas Banking Services 406

14.4 International Lending 409

14.5 Foreign Banks in the United States 416

14.6 Future Directions of International Banking 420

Chapter 15 Regulation of Financial Institutions 422

15.1 Reasons for Regulation 423

15.2 Bank Failures and Regulation 426

15.3 Safety and Soundness Regulation: Deposit Insurance 432

15.4 Deposit Insurance Issues 435

15.5 Safety and Soundness Regulation: Capital Requirements 439

15.6 Bank Examinations 447

15.7 Structure and Competition Regulations 450

15.8 Consumer Protection Regulations 452

15.9 Bank Regulators 456

Chapter 16 Thrift Institutions and Finance Companies 465

16.1 Historical Development of Savings Institutions 467

16.2 Operations of Savings Institutions 470

16.3 Credit Unions 478

16.4 Thrift Institutions Around the Globe 484

16.5 Finance Companies 486

Chapter 17 Insurance Companies and Pension Funds 496

17.1 Insurance 497

17.2 The Insurance Industry 501

17.3 Life and Health Insurance Products 508

17.4 Property and Liability Insurance Products 515

17.5 Pensions 519

PART V

Chapter 18 Investment Banking 527

18.1 The Relationship Between Commercial and Investment Banking 528

18.2 Primary Services of an Investment Bank 533

18.3 Private Equity 543

Chapter 19 Investment Companies 551

19.1 Investment Companies 552

19.2 Open]End Mutual Funds 553

19.3 Closed]End Mutual Funds 566

19.4 Exchange]Traded Funds 567

19.5 Hedge Funds 572

19.6 Real Estate Investment Trusts 576

Chapter 20 Risk Management in Financial Institutions 580

20.1 The Dilemma: Profitability Versus Safety 581

20.2 Liquidity Management 583

20.3 Managing Credit Risk 587

20.4 Measuring and Assessing Interest Rate Risk 593

20.5 Hedging Interest Rate Risk 602