Bonds FAQs

  1. How are futures used to hedge a position?

  2. Can a church issue a bond?

  3. When looking at my online broker account, I see an account value, cash value and purchase power number. How are these calculated?

  4. How many attempts at the Series 7 exam are permitted?

  5. How is the Parabolic SAR used in trading?

  6. What is the difference between arithmetic and geometric averages?

  7. How do I avoid paying excess taxes on securities I have sold?

  8. How can I tell if I'm eligible for an EITC?

  9. Why do longer term CDs pay a higher rate than the short-term CDs?

  10. What is the maximum amount of time that can elapse between CFA examinations?

  11. Are any special forms or documents required when transferring an IRA/SEP/SIMPLE to a Traditional IRA?

  12. Can I donate stock to charity?

  13. Where are the testing centers for the Series 7 examination?

  14. Does a broker always have to buy a stock if I want to sell it?

  15. What is a subprime mortgage?

  16. Which is better, a fixed or variable rate loan?

  17. What types of plans allow catch-up contributions?

  18. Can I leave my pension to my spouse when I pass away?

  19. What is the "random walk theory" and what does it mean for investors?

  20. What is estate planning?

  21. What is market cannibalization?

  22. How do I use a rollercoaster swap?

  23. What is an echo bubble?

  24. What was the Whitewater scandal?

  25. Use the following information about a customer’s margin account to answer the question.

  26. What are the differences between chapter 7 and chapter 11 bankruptcy?

  27. As a temporary resident of the US, can I withdraw funds from my Traditional IRA without penalty when I leave the country?

  28. I do not want to totally get out of my retirement 401(k), but I want to take 72(t) distributions. What should I consider?

  29. What's the difference between a Nasdaq market maker and a NYSE specialist?

  30. I'm about to retire. If I pay off my mortgage with after-tax money I have saved, I can save 6.5%. Should I do this?

  31. How are a company's financial statements connected?

  32. What is a penny stock?

  33. What happens if I maintain a short position in a stock that is delisted and declares bankruptcy?

  34. What does it mean when people say they "beat the market"? How do they know they have done so?

  35. Why do option volume quotes differ on different websites?

  36. Why can you short sell an ETF but not an index fund?

  37. If a stock is delisted, do shareholders still own the stock?

  38. What is after-hours trading? Am I able to trade at this time?

  39. What is a "socially responsible" mutual fund?

  40. When should I take my Canadian Pension Plan distributions?

  41. What are the generally accepted accounting principles for inventory reserves?

  42. What is the ideal number of stocks to have in a portfolio?

  43. How does a point change in a major index effect its equivalent exchange-traded fund?

  44. Which is better a cash dividend or a stock dividend?

  45. What is a basis point (BPS)?

  46. What is the difference between a Traditional and a Roth IRA?

  47. How can I hedge against rising diesel prices?

  48. I am starting a limited liability company (LLC). I will be the sole member. Can I open an SEP IRA? How much tax-deferred money would I be able to contribute each year?

  49. How does the marginal tax rate system work?

  50. What is the difference between a logarithmic price scale and a linear one?

  51. What is an assumable mortgage?

  52. How can I purchase stocks directly from a company?

  53. Is tracking error a significant measure for determining ex-post risk?

  54. How do restricted stocks, treasury stocks and stock appreciation rights benefit employees?

  55. Are credit cards and debit cards considered debt instruments?

  56. What is the put-call ratio and why should I pay attention to it?

  57. Does a stock dividend dilute the price per share as would a forward stock split?

  58. How do central banks acquire currency reserves and how much are they required to hold?

  59. What are the three phases of a completed initial public offering (IPO) transformation process?

  60. How does a depository bank benefit from issuing an ADR for a foreign company for free?

  61. What effect does a company's dividend reinvestment plan have on its stock price?

  62. Who sets the price of commodities?

  63. What do the bracketed numbers following a technical indicator mean?

  64. Do I need to take the Series 6 examination after I have already successfully completed the Series 7?

  65. What happens to my call options if the underlying company is bought out?

  66. How can a futures trader exit a position prior to expiration?

  67. What aids will help me file my own tax return?

  68. I sold my house. Can I exclude the gain from my income?

  69. I would like to invest in a dividend-paying stock. How can I find out which stocks pay dividends?

  70. Is it required to order the CFA guides in order to prepare for the CFA?

  71. Can I contribute to both a 401(k) and an IRA?

  72. How do I calculate the percentage gain or loss for my portfolio when all of the stocks have different prices?

  73. Are there any continuing education requirements after I pass the Series 7 examination?

  74. How is margin interest calculated?

  75. I have a small business (LLC), which I operate part-time. I also work full time for a company and am enrolled in a 401(k) plan. Am I still eligible to make contributions to an individual 401(k) from earnings of my part-time LLC?

  76. What is the highest achievable FICO score?

  77. What effect will a prenuptial agreement have on a 401(k)?

  78. How much will it cost me to become a casual investor on my own?

  79. What causes a recession?

  80. Why did dotcom companies crash so drastically?

  81. What is a "gypsy swap"?

  82. What is an entrepreneur's elevator pitch?

  83. What is a blackout period?

  84. What is the relationship between the PPI and the CPI?

  85. Margin accounts are established to allow investors the ability to use leverage with their investments.

  86. Under the Investment Advisers Act of 1940, which of the following are exempt from registration as investment advisers under normal circumstances?

  87. What is market capitulation?

  88. Who qualifies as "single" for tax or retirement purposes when spouses do not live together?

  89. Can I establish more than one IRA?

  90. What's the smallest number of shares I can buy?

  91. What is a stripped bond?

  92. What's the difference between macroeconomics and microeconomics?

  93. Why do some stock symbols have three letters while others have four? What is the difference?

  94. I will be receiving monies from a QDRO executed pursuant to my divorce. I would like to take a portion of the money as a distribution to pay for a new home. What are the tax implications of doing this?

  95. If I have a number of stock shares and that company reports earnings of X amount per share, do I receive those earnings?

  96. Are professionals, such as financial planners and brokers, liable for the advice they give?

  97. If the price of the bond falls, does that mean the company won't pay me the par value?

  98. Why did my stock's ticker symbol change?

  99. What is arbitrage?

  100. What is the difference between yield and return?

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