Bonds FAQs

  1. What does "pro bono" mean?

  2. I overcontributed to my Roth, then lost half of this money to the market. Does the 6% penalty apply to my original contribution, or only what's left of it?

  3. What is financial double-dipping?

  4. What is the difference between a gilt edged bond and a regular bond?

  5. Why is Frank Quattrone credited with contributing to the growth of the dotcom bubble?

  6. The "effective date" is defined as:

  7. Where can I find all of the stocks in the Dow Jones Industrial Average?

  8. What is cliff vesting?

  9. What is a "force majeure"?

  10. Which credit card company holds the honor of most profitable IPO?

  11. What is the difference between return on equity and return on capital?

  12. What is the difference between exchange-traded funds and mutual funds?

  13. According to the U.S., prohibited conduct of an investment advisor is defined as:

  14. Why is a "hockey stick bid" considered fraudulent?

  15. What do people mean when they mention real estate gazunders or gazumps?

  16. What currency is affected by the interest rate decisions of the Bank of England (BoE)?

  17. How do I use a conduit IRA?

  18. What is an unregistered security scam?

  19. Which of the following BEST describes the requirements for advertisements of new municipal securities issues?

  20. What does it mean when advertisers say that "financing is available"? Should I trust them to give me a good deal?

  21. What is foreign exchange?

  22. How often do exchange rates fluctuate?

  23. We are in a 401(k) at work. Can we also do a Roth each year? If we can, can it also be deducted from our taxes?

  24. How much more will it cost me to buy an odd lot of shares?

  25. Do I still have to pay penalties and taxes on money that I don't roll over from a DROP fund?

  26. How did Peter Young gain infamy as a "rogue trader"?

  27. A customer has the following in his long margin account. Market value: $18,000, debit balance: $10,000 and SMA: $2,000. How much of the SMA may be used to purchase additional securities?

  28. How do companies like Moody's rate bonds?

  29. What is leakage?

  30. What is the history behind today's bankruptcy laws?

  31. Is a person an active participant in an employer-sponsored retirement plan if he or she was only active for a short time?

  32. What is the difference between inflation and stagflation?

  33. Investment advisors must register with the SEC when their assets under management total what amount?

  34. How do sunshine laws help investors?

  35. What is the salad oil scandal?

  36. What is a Chinese hedge?

  37. What is a baby bell?

  38. What is "hot money"?

  39. How did Joseph Jett cause Kidder, Peabody & Co. to lose over $350 million?

  40. What are the penalties for withdrawing from my Traditional IRA less than a year after acquisition?

  41. How do I use a premium put convertible?

  42. What is the downtick-uptick rule on the NYSE?

  43. How do I use a barbell strategy?

  44. Am I entitled to any of my ex-spouse's retirement plan benefits?

  45. What business processes were used to establish the Chevrolet motor company?

  46. How did derivatives trader Nick Leeson contribute to the fall of Barings Bank?

  47. Which of the following are tools that are employed by the Federal Reserve in its efforts to control the money supply?

  48. What is a wild-card play?

  49. What was the first company to issue stock?

  50. How did currency trader John Rusnak hide $691 million in losses before being caught for bank fraud?

  51. What is the doctor advisory scam?

  52. What happens when someone is given the golden boot?

  53. Your client has a net short-term gain of $3,000 and a net long-term loss of $8,000. Which of the following statements are true?

  54. What does "fool in the shower" mean?

  55. What is a vest fleece?

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

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

  58. Why should I invest?

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

  60. What are the listing requirements for the Nasdaq?

  61. 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?

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

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

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

  65. How do I find historical prices for stocks?

  66. Can I borrow from an IRA without penalty?

  67. What is a split-adjusted share price?

  68. When must a company announce earnings?

  69. Is it possible to short sell a bond?

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

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

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

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

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

  75. 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?

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

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

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

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

  80. How do I measure option liquidity?

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

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

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

  84. 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?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

  100. 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?

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