National University

General Course Information for FIN633: Financing Capital Requirements

Course: FIN633 - Financing Capital Requirements
Textbook: For the correct edition of the textbook assigned to a specific class, go to:

Course Prerequisite(s):
Course Description: A discussion of how to establish capital structure policies and determine the best methods for raising required capital, the course covers formulation of debt, dividend and equity policies, selection of appropriate financing vehicle, and selection of capital market
Course Learning Outcomes:
  • Evaluate complex, unstructured financial data for more effective financial decision-making.
  • Evaluate capital structure theory and its value in making capital structure decisions.
  • Synthesize the major issues of capital structure theory and the contrasting theoretical tenets proffered by the major theoreticians.
  • Analyze dividend theory, the clientele effect, the signaling effect, and related concepts in dividend policy.
  • Estimate corporate debt capacity and the importance of debt policy in capital structure management.
  • Compare and contrast the significance of operating and financial leverage and their impact on capital structure variables.
  • Analyze how the globalization of capital markets effect the capital structures of business and non-business organizations.
  • Implement decisions based upon business ethics in finance.
  • Compare and contrast capital markets, public and private placements, and broad procedural aspects involved in financing a firm.
  • Plan and implement public offering procedures, exempt offerings shelf registrations, blue sky laws, and related S.E.C. required regulations.
  • Forecast the firm's need for external funds and evaluate various capital structure options related to a series of financing during a specified time period.
  • Estimate corporate debt capacity and establish analytically defensible parameters for corporate debt policy.
  • Evaluate the procedure and implications of corporate debt refunding, bond swaps, and related transactions for use in recapitalizating the firm.
  • Analyze the use of share repurchase programs to transfer and create value for the shareholder.
  • Evaluate the role of trustees and transfer agents.
  • Compare and contrast callable and convertible securities and their role in maximizing financial flexibility and shareholder wealth.
  • Analyze the use of warrants and rights for use in financing the firm.
  • Evaluate several financial options available to a firm within the context of an unstructured and closed universe of data, and select an option which will most effectively meet the needs of the firm.

Students with Disabilities:
Students seeking special accommodations due to a disability must submit an application with supporting documentation, as explained under this subject heading in the General Catalog. Instructors are required to provide such accommodations if they receive written notification from the University.

Writing Across the Curriculum:
Students are expected to demonstrate writing skills in describing, analyzing and evaluating ideas and experiences. Written reports and research papers must follow specific standards regarding citations of an author's work within the text and references at the end of the paper. Students are encouraged to use the services of the University's Writing Center when preparing materials.

The following website provides information on APA, MLA, and other writing and citation styles that may be required for term papers and the like:

National University Library:
National University Library supports academic rigor and student academic success by providing access to scholarly books and journals both electronically and in hard copy. Print materials may be accessed at the Library in San Diego or through document delivery for online and regional students. Librarians are available to provide training, reference assistance, and mentoring at the San Diego Library and virtually for online or regional students. Please take advantage of Library resources:


Contact the Library:

  • (858) 541-7900 (direct line)
  • 1-866-NU ACCESS x7900 (toll free)

Use the Library Training Tools (on the Library Homepage) for additional help

  • Recorded class presentations
  • Tutorials & Guides (APA/MLA, Peer-Review, and more)

Plagiarism is the presentation of someone else's ideas or work as one's own. Students must give credit for any information that is not either the result of original research or common knowledge. If a student borrows ideas or information from another author, he/she must acknowledge the author in the body of the text and on the reference page. Students found plagiarizing are subject to the penalties outlined in the Policies and Procedures section of the University Catalog, which may include a failing grade for the work in question or for the entire course. The following is one of many websites that provide helpful information concerning plagiarism for both students and faculty:

Ethical behavior in the classroom is required of every student. The course will identify ethical policies and practices relevant to course topics.

Students are expected to be competent in using current technology appropriate for this discipline. Such technology may include word processing, spreadsheet, and presentation software. Use of the internet and e-mail may also be required.

Learning to work with and value diversity is essential in every class. Students are expected to exhibit an appreciation for multinational and gender diversity in the classroom.

As a diverse community of learners, students must strive to work together in a setting of civility, tolerance, and respect for each other and for the instructor. Rules of classroom behavior (which apply to online as well as onsite courses) include but are not limited to the following:

  • Conflicting opinions among members of a class are to be respected and responded to in a professional manner.
  • Side conversations or other distracting behaviors are not to be engaged in during lectures, class discussions or presentations
  • There are to be no offensive comments, language, or gestures