Bonds FAQs

  1. How do I find the CUSIP number for a particular stock?

  2. I am in the second year of taking SEPP distributions from my IRA. Can I transfer some of the funds to a new IRA with different investment options?

  3. Where can I get bond market quotes?

  4. When does one sell a put option, and when does one sell a call option?

  5. What are the differences between affiliate, associate and subsidiary companies?

  6. How does the 80% rule for home insurance work, and how do capital improvements affect it?

  7. Why can't I have fixed rollover costs in forex?

  8. Can someone who is not yet of legal age open a brokerage account?

  9. Do noise traders have any long-term effect on stock prices?

  10. I deducted my IRA contribution on my tax return but failed to transfer the funds. What do I do?

  11. How does a person gain from an investment?

  12. Can high-income earners deduct yearly defined-benefit plan contributions of over $100,000?

  13. If an employee is paid by commission, who is responsible for withholding taxes?

  14. I did not receive my Bachelor's degree in the United States. How can I determine whether my Bachelor's degree is comparable to a U.S. Bachelor's degree?

  15. I retired and transferred part of my pension distribution to a Roth IRA. If I am over 55, do I still qualify for the age 55 exemption?

  16. I want to start my own brokerage company, how do I become a member of FINRA?

  17. Can I return funds to my Roth IRA after I have taken it as a distribution?

  18. If I do not have a U.S. Bachelor's Degree or equivalent, can I still qualify for registration in the CFA program?

  19. How do I find mutual funds that track indexes?

  20. What is fair capital?

  21. What does it mean when my broker says that shares are for auction?

  22. What is the difference between Series 9/10 and Series 24 qualification exams?

  23. What is the difference between a collateralized mortgage obligation (CMO) and a collateralized bond obligation (CBO)?

  24. How can I budget for both short-term expenses and long-term goals?

  25. My spouse has little/no income. Can I contribute to my spouse's IRA?

  26. What is the best method of analysis for forex trading?

  27. What is a typical day in the life of someone in M&A? How long does a project last?

  28. Can I match a fund to my religion?

  29. What's the difference between casualty insurance and disability insurance?

  30. What does it mean to be "above water"?

  31. Can private corporations issue convertible bonds?

  32. How do companies use the Pac-Man defense?

  33. I'm worried about the economy and want to move my IRA funds from stocks and bonds to cash. Will I taxed for this?

  34. When an applicant submits a registration application, under the USA, it must include a consent to service of process, this means that the applicant:

  35. What's the difference between a mutual fund and a hedge fund?

  36. When you buy a stock in a company, does it necessarily mean that one of the shareholders is selling it to you?

  37. What's the difference between bottom-line and top-line growth?

  38. What is accrued interest, and why do I have to pay it when I buy a bond?

  39. What's the difference between absolute and relative return?

  40. Is it important to check the professional history of my investment advisor?

  41. I recently and accidentally established a Roth IRA for my spouse instead of myself and contributed additional monies. What should I do?

  42. Can I pull out most of my assets from my IRA and use the cash as long as I replace it in the IRA within a year?

  43. I own options on a stock, and it's just announced a split. What happens to my options?

  44. Can a simplified employee pension (SEP) IRA be converted to a Roth IRA in the same manner that a Traditional IRA can?

  45. Can a person who is retired continue to fund an IRA?

  46. Why do interest rates tend to have an inverse relationship with bond prices?

  47. Where does the money I have invested in a company go when the stock price decreases?

  48. What requirements must a company meet for options to be traded on its stock?

  49. What does it mean to use technical divergence in trading?

  50. What are "I Bonds" and how can I buy them?

  51. Is there such a thing as a nano cap or micro cap index?

  52. What investments are available to someone with no earned income?

  53. Does a stock split lead to the gapping up/down of the stock?

  54. What does the law say about non-U.S. citizens buying stocks of U.S. companies? Are there any restrictions?

  55. What are some common and useful retirement planner designations? Are they expensive or difficult to obtain?

  56. Earnings within a Roth IRA are tax free, so are these earnings included in the modified adjusted gross income which is used to determine Roth IRA eligibility?

  57. Is it easier to save for retirement if you start earlier in life? Can I make up for what I don't save now by contributing more later on?

  58. Who is responsible for protecting and managing shareholders' interests?

  59. What is an economic moat?

  60. If a trust is named as the beneficiary of an IRA, can the trustee of that trust become the beneficiary without the IRA owner signing the Change of Beneficiary form?

  61. What's the difference between short-term investments in marketable securities and equity?

  62. My company has three partners but plans to hire more this year. Would we be better off with an SBO-401(k) or a SIMPLE IRA?

  63. Do traders, market makers, specialists or others ever deliberately drive a stock's price down to "shake out" the last sellers?

  64. Since stockholders are entitled to a company's assets and earnings, can a stockholder realize profits without selling stocks?

  65. What is an evergreen provision and how does it affect shareholders?

  66. What are the steps to get a company listed on the OTCBB?

  67. I want to try short selling, but how can I sell something that I don't own?

  68. What methods can be used to fund a forex account?

  69. Can I have a self-directed IRA or Roth IRA using the forex market?

  70. What does "buy on the cannons, sell on the trumpets" mean?

  71. What is options backdating?

  72. Why are the bid and ask quotes usually so far away from each other in after-hours trading?

  73. What's the difference between a savings account and a Roth IRA?

  74. Why do people say that September is the worst month for investing?

  75. Where can I find information on multiple annual additions for someone employed by more than one unaffiliated company?

  76. What financial certifications or exams do I need to complete in order to qualify for registration as an Investment Advisor Representative?

  77. I hold a professional degree. Am I eligible to sit for the Certified Financial Planner (CFP)certification examination?

  78. Are there special benefits for U.S. armed forces personnel?

  79. If I already hold a professional certification am I eligible for any exemptions from CFA Program requirements?

  80. Can an open-ended fund's price appreciate significantly?

  81. When my mutual fund declares an income distribution, the fund price falls by a similar amount. How does this distribution benefit me?

  82. What happens if there are no places available for me to sit for my exam within my window?

  83. What is the difference between a 2/28 and a 3/27 ARM?

  84. Why should I bother creating a budget?

  85. My husband left his ex-wife as his retirement plan beneficiary. Can this be changed?

  86. Is scalping a viable forex trading strategy?

  87. Is there any time I would want to have a zero-principal mortgage?

  88. Who coined the term "entrepreneur"?

  89. What is foreclosure investing?

  90. What is variable life insurance?

  91. What is meant by "full disclosure"?

  92. What does it mean to have "dry powder"?

  93. When is a dividend payment recognized in the shareholders equity portion of the balance sheet?

  94. I am self-employed and do not need most of my IRA RMD for expenses. Can I reinvest it in Roth IRAs?

  95. Can I roll a Traditional IRA into a 529 college account for my grandchild?

  96. What does it mean when a stock trades on the Pink Sheets or the OTCBB?

  97. Is it possible to reverse an IRA? I received a QDRO and owe money to my ex-husband. Is it possible to reverse the QDRO, which was put into a CD Traditional IRA account, without incurring any type of penalty?

  98. Where can I buy government bonds?

  99. I work for a university, and I have a 403(b) with TIAA-CREF. But TIAA-CREF says I cannot transfer money to another provider. Can they prevent me from transferring my money to a better investment?

  100. What is a company's worth, and who determines its stock price?

Trading Center