---------New Mexico State University Library (revised 5/30/94)--------- HOW TO DO LIBRARY RESEARCH IN INVESTMENTS Compiled by Bobray Bordelon Summer, 1992 Conducting research in the field of investments requires the use of many different materials in the library. This guide provides a bibliography of useful sources as well as a basic approach to researching a topic. THE UNIVERSITY LIBRARY The NMSU Library is housed in two buildings: Branson Hall and New Library. Books and journals are arranged by call number and divided between the buildings as follows: Call Number Locations New Library: A-H, HM-PZ Branson: HA-HJ, Q-Z Arts Agriculture Education Business Social Sciences Engineering Humanities Science BEGINNING YOUR RESEARCH Dictionaries and encyclopedias are excellent starting points for research. They can provide general background information to help narrow or broaden the focus of a topic, define unfamiliar terms, and offer bibliographies of other sources. Some works include an index, which will provide the best access to a subject. Dictionaries and Encyclopedias > Branson (Ref) HG4527 E5 1990 Friedman, Jack P. ENCYCLOPEDIA OF INVESTMENTS. Boston: Warren, 1990. Forty-eight separate articles on a wide range of investment opportunities. Each article includes basic characteristics, attractive features, potential risks, tax consequences, representative investors, buying and selling factors, a glossary, and a bibliography. Supplement includes five new articles, thirteen updates, and a cumulative index. > Branson (Ref) HG4513 P47 1983 Pessin, Allan H. and Joseph A. Ross. WORDS OF WALL STREET. Homewood, Illinois: Dow Jones-Irwin, 1983. Defines 2,000 terms and expressions in the securities industry. Written by two experienced Wall Street professionals and teachers. > Branson (Ref) HG4513 V35 1985 Valentine, Stuart P. INTERNATIONAL DICTIONARY OF THE SECURITIES INDUSTRIES. New York: Nichols, 1985. Polyglot investment terminology of the international market. Defines approximately 2,500 words and phrases. Some bibliographic references. Includes table containing basic data on the world stock exchanges. > Branson (Ref) HG4513 P463 1988 Pessin, Allan H. THE ILLUSTRATED ENCYCLOPEDIA OF THE SECURITIES INDUSTRY. New York: New York Institute of Finance, 1988. Provides lengthy definitions with examples and illustrations. > Branson (Ref) HG4636 C64 1988 Colby, Robert W. and Thomas A. Meyers. THE ENCYCLOPEDIA OF TECHNICAL MARKET INDICATORS. Homewood, Ill.: Dow Jones- Irwin, 1988. Examines over 100 indicators and the methods and techniques used to determine the forecasting value of various indicators. > Branson (Ref) HG151 M8 1991 ST. JAMES ENCYCLOPEDIA OF BANKING AND FINANCE. Chicago: St. James, 1991. Almost 4,200 entries varying from one paragraph to several pages. Includes statistics, law citations, examples, and bibliographies. FINDING JOURNAL ARTICLES Journals are the best source for current information on a topic. This is especially important if an area of study is new, currently being investigated, or subject to frequent change. If there is a list of references following a journal article, it might provide leads to further sources. Indexes and Abstracts Journal articles on a specific subject can be identified through the use of a general or specialized index. Some indexes include abstracts (summaries) of articles. The library subscribes to indexes in print format and on CD-ROM. The library doesn't subscribe to all of the journals in these indexes. A list of journals to which the library does subscribe accompanies some of the indexes on the index and CD-ROM tables. Printed Indexes Indexes or abstracts in print form give subject and/or author access to journal articles. Some of the indexes are located on tables in the reference area; others can be found in the reference stacks by call number. The following indexes list references to journal articles in the field of investments. > Branson (Ref Index Area) BUSINESS PERIODICALS INDEX. New York: H.W. Wilson, 1958 - . A monthly periodical index covering business and management topics including investments. Subjects are arranged in alphabetical order. Includes personal names also. > Branson (Ref Index Area) WALL STREET JOURNAL INDEX. New York: Dow Jones & Co., 1955 - . The index to the leading U.S. daily financial newspaper. Each issue is divided into two parts: corporate news and general news. Electronic Indexes Electronic indexes offer a computerized approach to the retrieval of citations to journal articles. A user can specify a combination of subject terms in order to find references to articles which contain those terms in their titles, in their abstracts, or as assigned descriptors. The following indexes may be useful for finding information on investment topics. New products may be added; check the CD-ROM area near the reference desk. > Branson (Cafe OLE terminals and Library Network) > NewLib (Cafe OLE terminals and Library Network) PAN An index to articles on a wide range of subjects. It provides information about articles published since January 1990 in over 1,700 magazines and journals, and newscasts from major television networks and National Public Radio. It is updated monthly. The library subscribes to around 65% of the magazines and journals in PAN. PAN is available on any Cafe OLE terminal. Ask at the desk if you need any help. > Branson (Library Network) > NewLib (Library Network) ABI/INFORM Gives citations and abstracts for articles in business journals. Many of these articles relate to investments. Appropriate subjects for this database would be INVESTMENTS, RETURN ON INVESTMENTS, STOCKS, and BONDS, among others. Updated monthly. > Branson (Ref CD-ROM Area) Compact Disclosure Contains financial and management information on over 11,000 public companies. Company data is extracted from annual and periodic reports filed with the U.S. Securities and Exchange Commission. > Branson (Library Network) > NewLib (Library Network) InfoTrac Academic Index Provides easy-to-use access to articles in periodicals of a popular nature (TIME, NEWSWEEK, etc.) as well as some specialized journals such as JOURNAL OF BUSINESS and HARVARD BUSINESS REVIEW. Gives access to stories in the news through references to the NEW YORK TIMES. Updated monthly. Location of Journals Journals are shelved in call number order. Use the title of the journal, NOT the title of the article. Use OLE (the online catalog) to find the call number and format of a journal. Type T/ followed by the title of the journal. For assistance, ask a reference librarian. Current issues of most journals are shelved in the Periodicals areas. Use the location charts to find bound journals, which are shelved in the stacks with the books. Microfiche and microfilm journals are housed in cabinets in the microform areas of Branson and New Library. Selected List of Current Journals The following list is a sample of some of the journals the library carries in the field of investments. Branson HG4501 F49a FINANCIAL ANALYSTS JOURNAL HG181 A67 FINANCIAL REVIEW HG4501 F5 FINANCIAL WORLD HG4501 I58 INSTITUTIONAL INVESTOR HG4501 J86 JOURNAL OF PORTFOLIO MANAGEMENT HG179 M59 MONEY HG4341 T8 TRUSTS AND ESTATES FINDING BOOKS Books are not as current as journal articles but will provide more comprehensive coverage of a subject. Access to the book collection is through the online catalog (OLE). Terminals are located in the reference and periodical areas on each floor. Older materials not yet entered into the OLE system are listed in the card catalog in the reference area. For books that are on order or recently received, use the INNOVACQ terminals, located in the reference and current periodicals areas. Using OLE OLE may be accessed by author, title, subject, or keyword. Consult the printed instruction sheet, the help screens on the terminal, or ask a reference librarian for further assistance. For most items, the OLE screen will give circulation information, indicating whether the item is available or checked out and, if checked out, when it is due. The Card Catalog Materials acquired by the library before 1975 may not be entered into the OLE system yet. For such material, check the card catalog in the reference area. Author, title and subject entries are arranged in a single alphabetical order in each card catalog. The card catalog in each building contains only cards for books in that building. Library of Congress Subject Headings To determine the appropriate heading(s) for a topic, consult the multi-volume LIBRARY OF CONGRESS SUBJECT HEADINGS (LCSH). These large red books, located at the reference desk and also near the OLE terminals, are very useful for suggesting alternate or additional headings to search. UF means "used for" and indicates terms that are not used. BT means "broader term," RT means "related term," SA means "see also," and NT means "narrower term." For example, under the term investments, some of the narrower terms listed are Bonds Futures Stock-Exchange Options (Finance) While Library of Congress headings can be very useful in finding books on a topic, the researcher should also explore keyword and Boolean (logical combinations of keywords using and, or, not) searching options on OLE. See the OLE handout, or use the OLE help screens for more information on keyword searching. Location of Books To locate a book in the library, first obtain the call number from the OLE screen or the card catalog, then consult one of the location charts found in the reference area or throughout each building. Books are shelved in call number order; however, if a call number is preceded by "(SpC)," the book will be located in Special Collections (Branson). If the call number is preceded by "(Ref)," the book will be located in the reference area. Special Collections materials and reference books cannot be checked out. Remember, the reference staff can always give you further assistance in locating a book. OTHER REFERENCE SOURCES In addition to the sources mentioned above, there are many other helpful reference sources. The following resources may be particularly helpful for the study of investments. Handbooks > Branson (Ref) HF5003 D68a 1991 BUSINESS ONE IRWIN BUSINESS AND INVESTMENT ALMANAC. Homewood: Business One Irwin, 1991. An almanac providing a summary of business news for the previous year, industry surveys, economic indicators, financial ratios, investment data, and business directory information. > Branson (Ref) HF1042 A55 1987 STANDARD INDUSTRIAL CLASSIFICATION MANUAL. Springfield, VA: NTIS, 1987. The federal government developed a four-digit classification scheme of all manufacturing and nonmanufacturing industries. This scheme has been widely adopted by many sources for use in presenting their statistical data. In some cases it might be necessary to use both the earlier 1972 edition and the revised 1987 edition since many industries were reclassified in the later edition. > Branson (Ref) HG4521 W484 1989 Williamson, Gordon K. THE LONGMAN INVESTMENT COMPANION: A COMPARATIVE GUIDE TO MARKET PERFORMANCE. Chicago: Longman Financial Services, 1989. Description and background information on major investment vehicles provided. Twenty-one year performance chart typically included. > Branson (Ref) HG4636 W28 1986 Warfield, Gerald. THE INVESTOR’S GUIDE TO STOCK QUOTATIONS AND OTHER FINANCIAL LISTINGS. New York: Harper, 1986. Explains how to read stock market, bond, option, and futures quotations. > Branson (Ref) HG4636 J37 1989 Jarrell, Howard R. COMMON STOCK NEWSPAPER ABBREVIATIONS AND TRADING SYMBOLS. Metuchen: Scarecrow, 1989. Provides a deciphering of newspaper abbreviations, trading symbols, and company names. > Branson (Ref) HG4551.S645 1988 THE SPICER AND OPPENHEIM GUIDE TO SECURITIES MARKETS AROUND THE WORLD. New York: Wiley, 1988. Provides data on the 26 largest securities markets in the world. > Branson (Ref) STANDARD AND POOR'S STOCK REPORTS. New York: Standard & Poor's. Convenient source for brief analysis on a wide range of stocks. Standardized two page reports include directory information, ten years of data, an outlook, recent events of importance, and betas. Quarterly. AMERICAN STOCK EXCHANGE. Branson HG4905 S44 NEW YORK STOCK EXCHANGE. Branson HG4905 S443 OVER THE COUNTER. Branson HG4905 S444 > Branson (Ref) HG4537 M776h MOODY'S HANDBOOK OF COMMON STOCKS. New York: Moody's Investors Service, 1965 - . Provides background data and statistics on over 900 companies. Quarterly. > Branson (Ref) HG4537 M66 MOODY'S DIVIDEND RECORD. New York: Moody's Investors Service, 1968 - . Semi-weekly source which provides current dividend information. Annual cumulative issue. > Branson (Ref) HD1415 F739c COMMODITY REVIEW AND OUTLOOK. Rome: FAO, 1983 - . Provides a general review of the international commodity market and reviews and outlooks on specific commodities. > Branson (Ref) HF1041 C56 CRB COMMODITY YEAR BOOK. New York: Commodity Research Bureau, 1939 - . Presents data on over 100 raw commodities, manufactured products, and resources. Includes articles, charts, and graphs. Issued annually. > Branson (Ref) HF1040.7 C65 1991 Friedman, Catherine, ed. COMMODITY PRICES. Detroit: Gale, 1991. A sourcebook and index providing references to wholesale, retail, and other quotations for more than 10,000 agricultural, commercial, industrial, and consumer products. > Branson (Ref) HG4905 M786 MOODY'S BOND RECORD. New York: Moody's Investors Service, 1972 - . Provides statistical data and analytical information on corporate, governmental, and municipal bonds, as well as corporate convertible bonds and preferred stocks. > Branson (Ref) HG4905 M776b MOODY'S BOND SURVEY. New York: Moody's Investors Service, 1936 - . Gives trends and prospects for the market and individual bonds. Sources for Obtaining Quotations > Branson Periodicals Desk WALL STREET JOURNAL. The leading U.S. daily financial newspaper. Includes business and financial news and digest of earnings, commodity prices, stock market price quotations, P/E ratios, and sales for the NYSE, AMEX, OTC, etc. > Branson (Periodicals) HG1.B3 BARRON'S NATIONAL BUSINESS AND FINANCIAL WEEKLY. Boston: Barron's, 1921 - . Contains news articles as well as weekly stock, bond, and mutual funds prices. Quotes current Dow Jones Averages and other market, economic, and financial indicators, exchange rates, etc. > Branson (Ref) HG4915 I1d DAILY STOCK PRICE RECORD: AMERICAN STOCK EXCHANGE. 1972 - . Provides daily stock market information. Included are daily high, low and closing prices; daily and weekly trading volume; bid and ask prices; latest dividend earnings; moving average prices; total shares outstanding; ticker symbol; capital charges during the quarter; short interest; insider decision indexes; market indicators, etc. Quarterly. > Branson (Ref) HG4915 I1n DAILY STOCK PRICE RECORD. NEW YORK STOCK EXCHANGE. 1972 - . For description see DAILY STOCK PRICE RECORD. AMERICAN STOCK EXCHANGE. > Branson (Ref) HG4519.D59 DOW JONES AVERAGES, 1885-1990. New York: Dow Jones & Co., 1991. Traces the Dow Jones Averages beginning July 3, 1884 to December 31, 1990. Corporate and Industrial Information > Branson (Ref) HD2721.D36 INTERNATIONAL DIRECTORY OF COMPANY HISTORIES. Chicago: St. James, 1988 - . Presents company histories in an industry arrangement. Covers 250 companies per volume. > Branson (Ref) HG4497.In8c INVESTMENT COMPANIES. New York: Arthur Weisenberger & Co. Provides background, management policy, and financial records for all leading U.S. and Canadian mutual funds and investment companies. Annual. Updated monthly by supplements. > Branson (Ref) HD2741 M65 1990 Moskowitz, Milton Robert Levering, and Michael Katz. EVERYBODY'S BUSINESS: A FIELD GUIDE TO THE 400 LEADING COMPANIES IN AMERICA. New York: Doubleday, 1990. Industry arrangement. Each company entry provides history, ranking, financial information, owners and rulers, and global presence. > Branson (Ref) HC106.6 S74 STANDARD & POOR'S INDUSTRY SURVEYS. New York: Standard & Poor's Corporation, 1973-. Provides economic and investment analyses of major industries. Many statistical tables and charts included. Quarterly. > Branson (Ref) HF5681 B2 R6 RMA ANNUAL STATEMENT STUDIES. Philadelphia: Robert Morris Associates, 1969-. Provides summary data for a four-digit SIC grouping. Each table shows current and historical data. Divides companies by asset size. Provides ratio analysis. > Branson (Ref) HG4057 A4 1992 STANDARD & POOR'S REGISTER OF CORPORATIONS, DIRECTORS, AND EXECUTIVES. New York: Standard & Poor's Corporation, 1992. Provides directory information on over 55,000 corporations. > Branson (Periodicals) HG4501 V26 VALUE LINE INVESTMENT SURVEY. New York: A. Bernhard. Analyzes and reports on approximately 1,700 stocks in eighty industries. Weekly. > Branson (Ref) HG4009 W36 1990 WARD'S BUSINESS DIRECTORY OF U.S. PRIVATE AND PUBLIC COMPANIES. Detroit: Gale, 1990. Provides directory information, geographic listings, and rankings within SIC codes. Bibliographies Specialized bibliographies can be a key to further information in the study of investments. They will be listed in OLE under various topics, for example "Investments- Bibliography". The following are examples of bibliographies in the NMSU library: > Branson (Ref) Z7164 C18 C47 Chapman, Karen J. INVESTMENTS STATISTICS LOCATOR. Phoenix: Oryx, 1988. Provides a dictionary approach to locating investment statistics using twenty-two standard sources. GOVERNMENT DOCUMENTS The U.S. government publishes information that may be of use in the study of investments. Many of these materials are found on OLE. The way to find older documents is to use the MONTHLY CATALOG OF UNITED STATES GOVERNMENT PUBLICATIONS, GPO on CD-ROM, or one of several indexes located in the documents area. Government documents do not have the same type of call number as other materials in the library. They are organized by the Superintendent of Documents (SuDoc) classification system. The first letters in the SuDoc represent the issuing agency. The Government Documents collection is located in Branson Hall. Documents reference service is available from 8 a.m. to 5 p.m., Monday through Friday. The collection is open to the public the same hours that the library is open. Indexes to Government Documents > Branson (Doc) > Branson (Library Network) > NewLib (Library Network) GPO GPO is a CD-ROM database that lists publications by the U.S. Government Printing Office from 1976 to the present. The user can type in title, agency, subject, or a combination of subject terms and retrieve a listing of titles and SuDoc numbers of documents that may be available in the NMSU documents collection. Issued bi-monthly. Selected U. S. Government Documents > Branson (Doc) C3.24/9-2: ANNUAL SURVEY OF MANUFACTURERS. Covers approximately 50,000 plants. Provides estimates of general statistics for industry groups. > Branson (Doc) C3.158 CURRENT INDUSTRIAL REPORTS. Gives current statistics on commodity production and shipments for approximately 5,000 products. Publication schedules vary for individual industries. > Branson (Doc) Y4.EC7:EC ECONOMIC INDICATORS. Gives state of the economy and business outlook. Statistics and charts presented for basic U.S. economic indicators. > Branson (Doc) C3.267: QUARTERLY FINANCIAL REPORT FOR MANUFACTURING, MINING, AND TRADE CORPORATIONS. Reports estimated statements of income and retained earnings, balance sheets, and related financial and operating ratios for all manufacturing, mining, and trade corporations. Statistical data are classified by industry and asset size. > Branson (Doc) SE1.9: SECURITIES AND EXCHANGE COMMISSION'S OFFICIAL SUMMARY OF SECURITY TRANSACTIONS AND HOLDINGS. Monthly summary of security transactions and holdings reported by officers, directors, and other "insiders". > Branson (Doc) SE1.20: SECURITIES AND EXCHANGE COMMISSION STATISTICAL BULLETIN. Monthly report containing stock market, option market, securities offerings, and securities registration statistics. Periodically includes statistics on working capital, noninsured pension fund assets, financial institution’s stock transactions, foreign securities sold in the U.S., etc. > Branson (Doc) T1.3: TREASURY BULLETIN. Gives summary of federal fiscal operations. Economic Census Reports The economic censuses are a primary source of data regarding the Nation's economy, business, and industry. Among the data published are number of establishments and firms, employment, payroll, sales, expenditures, inventories, etc. > Branson (Doc) C3.255/2: CENSUS OF RETAIL TRADE: GEOGRAPHIC AREA SERIES. > Branson (Doc) C3.255/3-1: CENSUS OF RETAIL TRADE: INDUSTRY SERIES. > Branson (Doc) C3.256/2: CENSUS OF WHOLESALE TRADE: GEOGRAPHIC AREA STUDIES. > Branson (Doc) C3.256/6: CENSUS OF WHOLESALE TRADE: INDUSTRY SERIES. > Branson (Doc) C3.24/3: CENSUS OF MANUFACTURERS: GEOGRAPHIC AREA SERIES. > Branson (Doc) C3.24/4: CENSUS OF MANUFACTURERS: INDUSTRY SERIES. > Branson (Doc) C3.24/3: CENSUS OF SERVICE INDUSTRIES: GEOGRAPHIC AREA SERIES. > Branson (Doc) C3.257/2: CENSUS OF SERVICE INDUSTRIES: INDUSTRY SERIES. > Branson (Doc) C3.245/7: CENSUS OF CONSTRUCTION: GEOGRAPHIC AREA SERIES. > Branson (Doc) C3.245/3: CENSUS OF CONSTRUCTION: INDUSTRY SERIES. > Branson (Doc) C3.216/2: CENSUS OF MINERAL INDUSTRIES: GEOGRAPHIC AREA SERIES. > Branson (Doc) C3.216: CENSUS OF MINERAL INDUSTRIES: INDUSTRY SERIES. > Branson (Docs) C3.31/4: CENSUS OF AGRICULTURE: GEOGRAPHIC AREA SERIES.