Formatting Bibliography or Reference List

Book

One author:

Pack, Howard. 1987. Productivity, Technology and Industrial Development, 5th ed. London: Oxford University Press.

———. (For consecutive entries by the same author, use a 3-em dash closed up with the period). 1989. [In the Word file, the names will be repeated, but Typesetting should correct to the 3-em dash.]

Editor:

Fabozzi, Frank J., ed. 1992. Investing: The Collected Works of Martin L. Leibowitz. Chicago: Probus.

More than one author:

Bodie, Zvi, Alex Kane, and Alan J. Marcus. 1993. Investments, 2nd ed. Boston: Irwin.

Part of a book:

Jones, William. 1885. “Introduction.” In Problems in Industrial Development, edited by John Dune, 1–2. Chicago: Universal Press.

Part of a CFA Institute book:

[Note: Proceedings beginning March 2006 are considered journals.]

(With a named editor)

Kiefer, Leslie S. 2000. “Building a Client’s Risk Profile: Working with Clients to Identify Risk.” In Investment Counseling for Private Clients II, edited by Dorothy C. Kelly. Charlottesville, VA: Association for Investment Management and Research.

(With an unknown editor)

Dynkin, Lev. 2000. “Global Bond Benchmarks.” In Global Bond Management II: The Search for Alpha. Charlottesville, VA: Association for Investment Management and Research.

(Conference Proceedings format)

Lucas, Douglas. 2006. “The Evolving CDO Market.” CFA Institute Conference Proceedings Quarterly 23 (2): 42–52.

CFA Institute book (with no author cited):

Risk Management: Principles and Practices. 1999. Charlottesville, VA: Association for Investment Management and Research.

(Note: Use the same style for Standards of Practice handbooks, GIPS publications, etc. CFA Institute is not the author of such publications; it is the publisher.)

CFA Institute/Research Foundation book (with authors cited):

Altman, Edward I., and Duen-Li Kao. 1991. Corporate Bond Rating Drift: An Examination of Rating Agency Credit Quality Changes. Charlottesville, VA: Research Foundation of the Institute of Chartered Financial Analysts.

Fabozzi, Frank J., Sergio M. Focardi, and Petter N. Kolm. 2006. Trends in Quantitative Finance. Charlottesville, VA: Research Foundation of CFA Institute.

Corporate Author

Book

Ibbotson Associates. 2004. Stocks, Bonds, Bills, and Inflation: 2004 Yearbook. Chicago: Ibbotson Associates.

ABI. 2001. Investing in Social Responsibility: Risks and Opportunities. ABI Research Reports. London: Association of British Insurers.

Pamphlet, flyer, etc.

Standard & Poor’s. 2002. “Identifying Ratings Triggers and Other Contingent Calls on Liquidity—Part 2” (15 May).

NIRI. 2002. “NIRI Releases Survey: An Analysis of Corporate Use of Pro Forma Reporting,” Press release, National Investor Relations Institute (17 January).

Report

World Bank. 2014. “The World Bank Annual Report.”

Financial Analysts Journal Book Review

Granito, Michael R. 1999. “Efficient Asset Management: A Practical Guide to Stock Portfolio Optimization and Asset Allocation” (a review). Financial Analysts Journal 55 (3): 101–02.

Forthcoming Papers

Forthcoming journal (date/volume/issue known):

Miller, Stan. Forthcoming 2008. “Derivatives.” Journal of Finance 87 (1).

Forthcoming book (date known):

Marcus, Jules. Forthcoming 2008. Listening to Market Prices. Traverse City, MI: Bay Lake Books.

Forthcoming journal (date unknown):

Frank, Jay Thomas. Forthcoming. “Understanding Futures: A Layman’s Guide.” Journal of Investing.

Forthcoming book (date unknown):

Hughes, John. Forthcoming. Modern Portfolio Theory. Charlottesville, VA: University of Virginia Press.

Occasional papers/papers in a series:

Lakonishok, J., A. Shleifer, and R. Vishny. 1992. “The Structure and Performance of the Money Management Industry.” Brookings Papers on Economic Activity: Microeconomics 1992: 339–91.

Journal

Note: When “no.” consists of two numbers, use “no.” and an en dash: “no. 1–3.” Online, the en dash here (and in page numbers) appears as a hyphen.

Ferris, S., and D. Chance. 1987. “The Effect of 12b-1 Plans on Mutual Fund Expense Ratios: A Note.” Journal of Finance 42 (4): 1077–82.

Slovic, Paul. 1967. “The Relative Influence of Probabilities and Payoffs upon Perceived Risk of a Gamble.” Psychonomic Science 9 (4): 223–24.

Smith, Fred. 1978. “Troubles and Their Solutions.” Journal of Solutions 11 (6–11): 106, 153–63.

Auerbach, Chuck. 1992. “Time and Tide Wait for No Man.” Impatience (Spring): 224–26.

Journal with No Author Cited

“A Guide to Mutual Funds.” 1985. Consumer Reports (July): 390–95.

“Giving TQM a Try.” 1995. Institutional Investor 33 (3): 31–34.

Miscellaneous

Sharpe, William F. 1979. “Evolution of Modern Portfolio Theory.” Based on Sharpe’s talk on 18 June at Wells Fargo Bank.

Newspaper Article

[Note: Use the international date style.]

With author’s name:

Gilpin, K. 1995. “Big Investor Talked, Grace Listened.” New York Times (11 April): C1.

Without author’s name:

“Wall Street Splits on How to Cope with Falling Bonds.” 1996. Wall Street Journal (10 May): C1.

Paper Presented at a Conference

Frantzich, Steven. 1990. “Legislatures and the Revolution in Communications and Information Processing: Untangling the Link between Technology and Politics.” Paper presented at annual meeting of American Political Science Association, San Francisco (August).

Reprinted Material

Leibowitz, Martin L. (1986) 1995. “Total Portfolio Duration: A New Perspective on Asset Allocation.” Financial Analysts Journal 42 (5):18–29, 77. Citation refers to original publication.

Note: If the later date is important because page numbers are given in the text reference (e.g., for a quotation), use:

Leibowitz, Martin L. 1995. “Total Portfolio Duration: A New Perspective on Asset Allocation.” Financial Analysts Journal 51 (1): 139–41. First published 1986.

Research Report

Bederman, Earl. 1994. “The Next Decade: The Outlook for Retail Services in Canada.” Research report, Investor Economics: 68.

Unpublished Papers

Working papers, mimeos, dissertations, and other unpublished manuscripts are separated from their location by a comma and their identifications have only an initial cap unless the paper has a number or other specific designation indicating that it has a formal place in a series:

Working paper with no number and not in a series

Doe, John. 1995. “Economics for Dummies.” Working paper, University of Tennessee (June). Available at <URL>.

Working paper that is part of a series

Poterba, J., S. Venti, and D. Wise. 1992. “401(k) Plans and Tax-Deferred Saving.” NBER Working Paper 4181 (October).

Doe, John. 1995. “Statistics for Dummies.” Working Paper 100, University of Dogpatch Economic Studies Series (April).

Mimeo with no number and not in a series

Seguin, P. 1991. “Transactions Reporting, Liquidity and Volatility: An Empirical Investigation of National Market System Listing.” Mimeo, University of Michigan, Ann Arbor.

Dissertation/thesis

Caudill, G.R. 1966. “The Correlation of Theory and Practice in the New Stagecraft Movement as Observed in the Theories and Practices of Robert Edmund Jones and Lee Simonson.” Unpublished master’s thesis, Kent State University.