Bonds FAQs

  1. What is a cross hedge?

  2. The security which offers the best protection against purchasing power risk or inflation ...

  3. A formula timing plan which consists of periodic purchases of a fixed dollar amount ...

  4. Which investment would be most suitable for a client investing for retirement and ...

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

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

  7. What's the difference between weighted average accounting and FIFO/LILO accounting ...

  8. Under what circumstances can an IA choose to sell a security for a client without ...

  9. Excessive trading is:

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

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

  12. If a client has a very low risk tolerance, all of the following might be suitable ...

  13. Type Of Return

  14. What effect did the Bankruptcy Abuse Prevention and Consumer Protection Act of 2 ...

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

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

  17. What protects an investor’s interest in the case of terrorist sabotage, or act of ...

  18. Under the “Brochure” rule of the Investment Advisers Act of 1940, which of these ...

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

  20. The reason why ERISA qualified plans should have an investment policy statement is ...

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

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

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

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

  25. A parent would choose to set up a Coverdell Education Savings Account for a child ...

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

  27. How are bonds rated?

  28. Transactions are exempt from registration where …

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

  30. How do 401(k) loans work?

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

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

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

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

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

  36. The BEST definition of a benchmark portfolio is:

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

  38. What is a tax-free 1035 Exchange?

  39. Is short selling allowed in India?

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

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

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

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

  44. Does a shareholder lose all of their equity once a Chapter 11 bankruptcy is filed ...

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

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

  47. I have a profit-sharing plan with my former employer. I am now trying to buy a home. ...

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

  49. After exercising a put option, can I still hold my option contract in order to sell ...

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

  51. Why do you need an emergency fund?

  52. Under the USA, there are antifraud provisions that apply to securities. Which of ...

  53. According to the USA, it is unlawful for a person to offer to sell a security in ...

  54. An IA’s client has a primary goal of tax reduction and a secondary goal of current ...

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

  56. What is a "wash sale"?

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

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

  59. When diversifying a bond portfolio, you should make sure to take into account all ...

  60. Which transactions affect the retained earnings statement?

  61. If I buy a stock at $45 and I put a stop limit in to sell at $40, will I be guaranteed ...

  62. How quickly should my financial advisor sell a stock that I have asked him or her ...

  63. What are some common hand signals on the trading floor?

  64. Because I missed a few credit card payments, the issuer raised my interest rate from ...

  65. Why are traders on the floor of the exchange?

  66. Why is accidental life insurance so inexpensive?

  67. Is life insurance good for mortgage protection?

  68. How do I know when to "rebalance" my investments?

  69. How do I know if I qualify to open a HSA (Health Savings Account)?

  70. What is the "stretch IRA" concept?

  71. Who was the first person charged by the SEC?

  72. My mortgage payments are no longer affordable; is there anything that I can do to ...

  73. How much life insurance should I have?

  74. Why is Game Theory useful in business?

  75. How are oil reserves accounted for on an oil company's balance sheet?

  76. What was the Marshall Plan?

  77. What is the difference between LIBID and LIBOR?

  78. Which of the following is not needed to calculate the net present value of an investment?

  79. The “effective date” is defined as:

  80. When is it acceptable for a broker to commingle funds with a client?

  81. The real rate of return is the amount of interest earned over and above the:

  82. The risk an investor is most likely to face when investing in a discounted U.S. Treasury ...

  83. What are the distribution options for an inherited annuity?

  84. What are the differences between AMEX and Nasdaq?

  85. What is a call rule?

  86. Do stimulus checks work?

  87. What are G7 bonds?

  88. The primary reason for an IA to rebalance a client’s portfolio is to:

  89. What are the pros/cons of naming a trust as the beneficiary of a retirement account?

  90. Which constitutional amendment made income tax legal?

  91. Is it wise to consolidate credit card debt?

  92. Should computer software be classified as an intangible asset or part of property, ...

  93. In a corporate liquidation, why are unpaid taxes and wages paid before general creditors ...

  94. The interest rate used to define the “risk-free” rate of return is the

  95. What is PMI, and does everyone need to pay it?

  96. What is the McGinley Dynamic?

  97. What is the difference between nonconvertible debentures and fixed deposits?

  98. What happens to insurance policies and variable annuities if the insurance company ...

  99. What certification series does one need to be a bond broker?

  100. A hypothecation agreement allows a broker-dealer to

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