Bonds FAQs

  1. Why did Tyco's financial statements attract the SEC's attention in 2002?

  2. Why would a company do a reverse merger instead of an IPO?

  3. Compute the offering price for a mutual fund with NAV of $1,200,000,000, an 8% front-end load, and 1,000,000 shares outstanding.

  4. What does "pro bono" mean?

  5. When is it a good idea to take out a loan to invest?

  6. Why are credit cards able to charge such high interest rates compared to other lenders?

  7. Should a Canadian citizen who lives and works in the U.S. continue to contribute to a RRSP account?

  8. 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?

  9. What is financial double-dipping?

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

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

  12. The "effective date" is defined as:

  13. What is cliff vesting?

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

  15. What is a "force majeure"?

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

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

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

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

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

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

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

  23. How do I use a conduit IRA?

  24. What is an unregistered security scam?

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

  26. What is foreign exchange?

  27. How often do exchange rates fluctuate?

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

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

  30. 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?

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

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

  33. 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?

  34. What is leakage?

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

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

  37. What is the difference between inflation and stagflation?

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

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

  40. How do sunshine laws help investors?

  41. What is the salad oil scandal?

  42. What is a Chinese hedge?

  43. What is a baby bell?

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

  45. What is "hot money"?

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

  47. How do I use a barbell strategy?

  48. How do I use a premium put convertible?

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

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

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

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

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

  54. What is a wild-card play?

  55. What was the first company to issue stock?

  56. What is the doctor advisory scam?

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

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

  59. 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?

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

  61. What is a vest fleece?

  62. What is earnings management?

  63. What kinds of investments are allowed in a qualified retirement plan, and what kinds are forbidden?

  64. What's the difference between publicly- and privately-held companies?

  65. Why do some closed-end mutual funds trade above or below their net asset values?

  66. Where did the bull and bear market get their names?

  67. How does FINRA differ from the SEC?

  68. Are certificates of deposit a kind of bond?

  69. What is the difference between the Dow and the Nasdaq?

  70. My Traditional IRA has been converted to a Roth IRA. Can I still make a qualified withdrawal as a first-time home buyer?

  71. How do you calculate the percentage gain or loss on an investment?

  72. What is a treasury stock?

  73. What is a DRIP?

  74. What is a CUSIP number?

  75. What is the carbon trade?

  76. What are the "Dogs of the Dow"?

  77. Do hedge funds and mutual funds invest in commodities in high inflation environments?

  78. What's the difference between a regular option and an exotic option?

  79. Why do you need a margin account to short sell stocks?

  80. I hold stock certificates in a company that just had a stock split. What happens now?

  81. Can technical analysis be called a self-fulfilling prophecy?

  82. Short selling vs. purchasing a put option: how do the payoffs differ?

  83. Can investment real estate be purchased within an IRA and, if so, are there any pitfalls?

  84. I participate in a profit-sharing plan at work. If I retire at age 62, will I be able to withdraw the money tax-free, or must it be rolled over to another account or plan?

  85. I didn't record my Traditional IRA contributions. Is there a website that lists IRA contribution limits for past years?

  86. What are the components of the risk premium for investments?

  87. What will happen to my U.S.-based stock portfolio if the U.S. dollar substantially decreases in value?

  88. I want to buy a stock at $30, sell when it reaches $35, don't want to hang on to it if it dips below $27, and I want to do all this in one trading order. What type of order should I use?

  89. Does issuing preferred shares offer a tax advantage for corporations?

  90. Where can I find information about pre- and after-hours trading on the NYSE and the Nasdaq?

  91. I have some stocks in a taxable account. Can I use them to fund my Roth IRA instead of using cash?

  92. Can a bond have a negative yield?

  93. How do I calculate the adjusted closing price for a stock?

  94. What happens if a company doesn't think it will collect on some of its receivables?

  95. Why do some stock quotes appear in bold print in the newspaper?

  96. Given a good bookkeeping system, would financial accounting be necessary?

  97. How do I buy an over-the-counter stock?

  98. If I roll my annuity into an IRA and receive after-tax distributions, will this be considered taxable income?

  99. Why would a multinational corporation conduct a vertical foreign direct investment?

  100. Can I contribute to my company-sponsored 401(k) after the company's year-end but before its tax-filing date?

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