Bonds FAQs

  1. Where do most fund managers get their market information?

  2. What do the different types of mutual fund classes mean?

  3. If my mortgage lender goes bankrupt, do I still have to pay my mortgage?

  4. What happens during the consolidation phase of an investor's life cycle?

  5. What are the rules for placing stop and limit orders in forex?

  6. Is it possible to trade forex options?

  7. What happens during the spending/gifting phase of an investor's life cycle?

  8. How can I use layaway plans for budgeting?

  9. I want to start buying stocks. Where do I start?

  10. What does deflation mean to investors?

  11. How do I use an arbitrage strategy in forex trading?

  12. How are international exchange rates set?

  13. Is it possible to invest in an index?

  14. Do ETFs have a board of directors?

  15. What is the double taxation of dividends?

  16. I don't understand how a stock has a trading price of 5.97, but when I buy it I have to pay the asking price of 6.04. How can I be paying more than what the stock is trading for?

  17. What is a trade deficit and what effect will it have on the stock market?

  18. What impact does a higher non-farm payroll have on the forex market?

  19. Is there any way to check the historical rates of different currencies?

  20. How can I start an IRA for my child?

  21. How are life insurance proceeds taxed?

  22. What changes might I need to make to my insurance policy?

  23. Why can't I enter two sell orders on the same stock?

  24. Am I responsible for fraudulent charges on my credit card?

  25. What is an overnight position in the forex market?

  26. What should I look for when choosing a forex trading platform?

  27. What is a pip and what does it represent?

  28. What were the "browser wars"?

  29. What is an antitrust law?

  30. What is the difference between qualified and non-qualified plans?

  31. How does the money from the interest on my bond get to me?

  32. How do open market operations affect the U.S. money supply?

  33. What does "outrights" mean in the context of the FX market?

  34. What percentage of a company's float can be shorted?

  35. What is evergreen funding?

  36. Does a company have to notify its investors when it faces legal proceedings?

  37. According to the CAPM, the expected return on a stock, that is part of a portfolio, will depend on all of the following except:

  38. What is a cross hedge?

  39. The security which offers the best protection against purchasing power risk or inflation is which of the following?

  40. A formula timing plan which consists of periodic purchases of a fixed dollar amount of an investment company regardless of price is known as:

  41. Which investment would be most suitable for a client investing for retirement and seeking protection from purchasing power risk in the future?

  42. Is there a buy-and-hold strategy in forex, or is the only way to make money by trading?

  43. How do you lose money in the Forex market?

  44. What's the difference between weighted average accounting and FIFO/LILO accounting methods?

  45. Under what circumstances can an IA choose to sell a security for a client without first receiving written discretionary authority?

  46. Excessive trading is:

  47. Under the USA, registration as an IAR includes all of the following EXCEPT:

  48. Which of these is not one of Porter's 5 competitive forces?

  49. If a client has a very low risk tolerance, all of the following might be suitable investments EXCEPT:

  50. Type Of Return

  51. What effect did the Bankruptcy Abuse Prevention and Consumer Protection Act of 2005 have on debtors?

  52. What was Robert Citron's role in Orange County, California's bankruptcy?

  53. What is the difference between LIBOR, LIBID and LIMEAN?

  54. What protects an investor’s interest in the case of terrorist sabotage, or act of war that destroys the electronic record of stock ownership?

  55. Under the “Brochure” rule of the Investment Advisers Act of 1940, which of these statements is true?

  56. How much money do I need to start trading?

  57. The reason why ERISA qualified plans should have an investment policy statement is to:

  58. How do name-brand products compete with their generic competitors?

  59. When and why did brokerages switch from fixed commissions to negotiated ones?

  60. A sales representative is permitted to take all of the following actions EXCEPT:

  61. When was the Dow Jones Industrial Average first calculated?

  62. How did dotcom companies become so overvalued in the late 1990s?

  63. A parent would choose to set up a Coverdell Education Savings Account for a child in order to save for college expenses AND:

  64. The maximum fine that can be assessed for a violation of the USA is what amount?

  65. How are bonds rated?

  66. Transactions are exempt from registration where …

  67. What happens if I own a stock that is purchased by another company after filing for bankruptcy?

  68. How do 401(k) loans work?

  69. What are the exceptions to the premature withdrawal penalty rules for IRA accounts?

  70. What advantages do exchange-traded funds have over mutual funds?

  71. Can I refuse a gift by providing a "Qualified Disclaimer," and what does this entail?

  72. What are some of the key differences between IFRS and U.S. GAAP?

  73. The real rate of return is the amount of interest earned over and above the?

  74. The BEST definition of a benchmark portfolio is:

  75. Why do companies use reverse/forward stock splits?

  76. What is a tax-free 1035 Exchange?

  77. Is short selling allowed in India?

  78. What is the difference between the bond market and the stock market?

  79. Why are most bonds traded on the secondary market "over the counter"?

  80. Why is debt issued in both temporary and permanent forms?

  81. Are U.S. banks authorized to issue bank guarantees or medium term notes (MTNs)?

  82. Does a shareholder lose all of their equity once a Chapter 11 bankruptcy is filed by the company?

  83. I have a profit-sharing plan with my former employer. I am now trying to buy a home. Can I use my profit-sharing money to put a down payment on a house?

  84. When is it a good idea to use an irrevocable life insurance trust?

  85. What are the advantages and disadvantages of mutual funds?

  86. What does a "5 by 5" power in a trust document mean?

  87. What is the difference between an options contract and a futures contract?

  88. Why do you need an emergency fund?

  89. After exercising a put option, can I still hold my option contract in order to sell it at a lower price?

  90. What is the difference between a Ponzi and a pyramid scheme?

  91. Under the USA, there are antifraud provisions that apply to securities. Which of the following statements is true?

  92. According to the USA, it is unlawful for a person to offer to sell a security in a state unless:

  93. An IA’s client has a primary goal of tax reduction and a secondary goal of current income. Which investment would be most appropriate?

  94. Where do I look for fees that I am charged on investments? What are those fees called?

  95. How does an employer benefit from a 401(k) matching plan?

  96. What is a "wash sale"?

  97. What are the requirements to be able to contribute to an HSA?

  98. When diversifying a bond portfolio, you should make sure to take into account all of the following EXCEPT:

  99. Which transactions affect the retained earnings statement?

  100. Because I missed a few credit card payments, the issuer raised my interest rate from 9.9% to 19.9%. What should I do?

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