Bonds FAQs

  1. I passed my Series 7 exam, but I terminated employment at my sponsoring firm before I received my license. Is my exam still valid?

  2. Who or what are the turtles?

  3. How do I get credit for my retirement plan contributions?

  4. Are my IRAs secure against possible liens?

  5. When must the required three years of qualifying work experience be completed in order to become a CFA charterholder?

  6. I have already obtained my Series 7; however, I am no longer working for a member firm. How do I prevent my license from expiring?

  7. Is there a limit on how much I can move from my IRA to my Roth IRA?

  8. Why does the majority of my mortgage payment start out as interest and gradually move toward mostly principal?

  9. Do I need to have my Series 7 license for at least 36 months before I take the Series 9/10 exam?

  10. I have two jobs. Can I contribute to two SIMPLE IRA plans?

  11. What are cleantech stocks?

  12. How long does an IRA beneficiary have to take an RMD after the IRA holder dies?

  13. Where is the central location of the forex market?

  14. How do proxy fights work?

  15. Are all bank accounts insured by the FDIC?

  16. How can I tell if I'm an emotional investor?

  17. I have several CDs in my IRA with different maturities. Can I roll them over to another institution with a better rate as they mature?

  18. What is a rainmaker?

  19. Will credit card inactivity affect my credit score?

  20. How do investors "chase the market"? It this a bad thing?

  21. What is reinsurance?

  22. If two people own a securities account, listed as joint tenants-in-common, it means:

  23. What is the difference between term and universal life insurance?

  24. Where does the name "Wall Street" come from?

  25. Why should I invest?

  26. Why don't investors buy stock just before the dividend date and sell right afterwards?

  27. What are the listing requirements for the Nasdaq?

  28. If everyone is selling in a bear market, does your broker have to buy your shares from you? If so, won't he be losing his shirt?

  29. If the stock market is so volatile, why would I want to put my money into it?

  30. What's the smallest number of shares of stock that I can buy?

  31. Why are the bid prices of T-bills higher than the ask prices? Aren't bids supposed to be lower than ask prices?

  32. How do I find historical prices for stocks?

  33. Can I borrow from an IRA without penalty?

  34. What is a split-adjusted share price?

  35. When must a company announce earnings?

  36. Is it possible to short sell a bond?

  37. What's the difference between absolute P/E ratio and relative P/E ratio?

  38. What's the difference between old- and new-economy stocks?

  39. What is the best way to save for private school expenses? A 529 plan, a Coverdell ESA or a mutual fund?

  40. Can the non-spouse beneficiary of an IRA name a successor beneficiary?

  41. How does the foreign-exchange market trade 24 hours a day?

  42. If I participate in my company’s SIMPLE IRA plan, can I also contribute to another IRA in order to receive a larger tax deduction?

  43. What is a good book on creating a trust that would qualify as the beneficiary for an IRA?

  44. How can I make sure that past IRS errors have been corrected?

  45. What is the difference between investment banks and merchant banks?

  46. My spouse and I now earn more than the dual-income limit specified by our IRAs. What will happen to our previous contributions?

  47. How do I measure option liquidity?

  48. What are the rules and reporting requirements for a rollover of a required minimum distribution (RMD)?

  49. Is a Canadian resident allowed to participate in a direct stock purchase plan from a U.S. company such as Pfizer?

  50. I own a small business. Can the SBO-401(k) work for me?

  51. I keep hearing about the 50-day, 100-day and 200-day moving averages. What do they mean, how do they differ from each other, and what causes them to act as support or resistance?

  52. How does a stop-loss order work, and what price is used to trigger the order?

  53. What does rollover mean in the context of the forex market?

  54. What is the difference between municipal bonds and standard money market funds?

  55. What is the value of one pip and why are they different between currency pairs?

  56. How can I determine a stock's next resistance level or target price?

  57. When should a company recognize revenues on its books?

  58. What should I use as a benchmark for my small-cap stock portfolio?

  59. What is the purpose of a "repatriated tax break", and why is it so controversial?

  60. Can I roll my 403(b) and 457 into other low-cost venders when I change jobs?

  61. Why do options with the same underlying stock and strike prices trade for different amounts?

  62. Do I have to complete all exams within a certain period of time to receive the CFA charter?

  63. Why does a crisis in emerging markets cause U.S. Treasury yields to decrease?

  64. What are some commonly missed deductions for business owners?

  65. Can I still set up an SEP if one of my employees refuses to participate?

  66. What personal items am I allowed to bring with me into the CFA exam testing room?

  67. My job with a member firm has recently been terminated and I do not want to write all of my securities exams again. How do I prevent my licenses from expiring?

  68. Why doesn't the price of a callable bond exceed its call price when interest rates are falling?

  69. Is there a limit to how many stocks and/or bonds an interested investor can buy?

  70. Am I qualified once I complete my FINRA certification exam?

  71. What is a liquidity squeeze?

  72. What is Black Friday?

  73. When is earnings season?

  74. How can I find out if a company I like is included in an index?

  75. How long does it take for a merger to go through?

  76. What is a gatekeeper?

  77. What recognized CEO earned the moniker "Neutron Jack"?

  78. Does investing in sustainable or "green" companies provide lower returns?

  79. Does it make sense to get my house and car insurance at the same place?

  80. How can I use an "airbag swap"?

  81. Why do forex traders use a currency converter?

  82. Do I receive the posted dividend yield every quarter?

  83. What are leading, lagging and coincident indicators? What are they for?

  84. Can I roll my 401(k) and/or IRA funds into a more liquid investment fund without penalty?

  85. What are some of the features and benefits of SEP IRAs and Roth IRAs?

  86. What does it mean when a stock symbol has a .PK after it?

  87. Are we in a bull market or a bear market?

  88. I am considering taking a loan from my qualified retirement plan. What is the definition of a "reasonable interest rate"?

  89. Can an IRA be used as security for a loan?

  90. My broker just sold securities out of my account without my permission. Is this legal?

  91. My wife and I both converted our Traditional IRAs to Roth IRAs in Dec 1998 and have invested the maximum amount each year to date in the Roth. I am purchasing a new home in January. Do my wife and I each qualify for a one-time, tax-free $10,000 "qualified

  92. What does membership in the New York Stock Exchange entail, and why is it known as "owning a seat"?

  93. What are these points that the Dow is always gaining or losing?

  94. Can preferred stocks be traded like common stocks? Are their prices the same?

  95. Does the seller (the writer) of an option determine the details of the option contract?

  96. Is technical analysis used only to analyze stocks?

  97. Can a stock have a negative price-to-earnings (P/E) ratio?

  98. I am 52 years old and wish to make a withdrawal from my 401(k) plan. Is there any way I can avoid having to pay additional tax on the grounds of hardship - e.g. unemployment?

  99. Why does my broker allow me to enter only day orders for short selling?

  100. What happens to the fines collected by the Securities and Exchange Commission?

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