Bonds FAQs

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

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

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

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

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

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

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

  8. 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

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

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

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

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

  13. Is technical analysis used only to analyze stocks?

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

  15. How can my stock's price change after hours, and what effect does this have on investors? Can I sell the stock at the after-hours price?

  16. What is the cheapest, fastest way to research, buy and trade stock?

  17. What is the pitchfork indicator that I keep hearing about, and how do I use it?

  18. I make over $100,000/yr and my adjusted gross income precludes standard IRA contributions. My contributions to my 401(k) plan at work are limited to about $7,000/yr. It seems I'm being penalized for my income. Are there other retirement savings options av

  19. I have a small business, and I'm considering setting up an SEP IRA. What are leased employees? Does this term refer to outside contractors who receive 1099-Rs? If so, how would the 5305-SEP need to be worded to make it acceptable to the IRS?

  20. What is a convertible bond?

  21. My spouse is the primary beneficiary of my IRA. I also have a contingent beneficiary. Can my spouse still transfer my IRA assets tax-free to her own IRA?

  22. Can I make money using put options when prices are going up?

  23. Why do commercial bills have higher yields than T-bills?

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

  25. 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?

  26. Where can I get bond market quotes?

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

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

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

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

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

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

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

  34. How does a person gain from an investment?

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

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

  37. 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?

  38. 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?

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

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

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

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

  43. What is fair capital?

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

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

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

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

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

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

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

  51. Can I match a fund to my religion?

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

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

  54. Can private corporations issue convertible bonds?

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

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

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

  58. What happens to the stock prices of two companies involved in an acquisition?

  59. Are long-term U.S. government bonds risk-free?

  60. Who's in charge of managing exchange-traded funds?

  61. What is the incentive to buy a stock without dividends?

  62. Where can I find a company's annual report and its SEC filings?

  63. How does somebody make money short selling?

  64. My old company offers a 401(k) plan and my new employer only offers a 403(b) plan. Can I roll over the money in the 401(k) plan to this new 403(b) plan?

  65. Can I move my IRA to a better income-producing opportunity?

  66. What is late-day trading? Why is it any different from buying and selling stocks in the after-hours market?

  67. Can you short sell stocks that are trading below $5? My broker says that I can't.

  68. Is my husband's ex-spouse entitled to receive my spouse's retirement benefits?

  69. What is the difference between stated annual return and effective annual return?

  70. What are pro forma earnings?

  71. What are defensive stocks?

  72. What do all of the letters in a stock option ticker symbol mean?

  73. What's the difference between a bank guarantee and a letter of credit?

  74. Are ETFs required to pay out a percentage of income as dividends?

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

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

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

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

  79. 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?

  80. 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?

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

  82. What is an economic moat?

  83. 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?

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

  85. 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?

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

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

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

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

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

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

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

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

  94. What is options backdating?

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

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

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

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

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

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

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