Bonds FAQs

  1. What's the difference between the Dow Jones Industrial Average and the S&P 500?

  2. What is a stock split? Why do stocks split?

  3. What do T+1, T+2 and T+3 mean?

  4. What does "buy and hold" mean?

  5. Can you have a 403(b) and also contribute to a 401(k)?

  6. My 80-year-old mother used her Roth IRA assets to make an $11,000 annual gift tax exclusion. Will these still be considered Roth IRA assets?

  7. What are unrealized gains and losses?

  8. What is the difference between a buy-side analyst and a sell-side analyst?

  9. Who employs the specialists at New York Stock Exchange (NYSE)? Do they work for themselves, for the NYSE or for brokerage firms?

  10. What is a tranche?

  11. I have discovered that a bond I am interested in has a sinking fund. What does this mean?

  12. Are IPOs available to short sell immediately upon trading, or is there a time limit that must pass before short sales are accepted?

  13. How can you lose more money than you invest shorting a stock? If you have no money left in your account, how do you pay it back?

  14. Can stocks be traded on more than one exchange, such as, for example, on both the Nasdaq and the NYSE?

  15. I have only $500 to invest, am I limited to buying only penny stocks?

  16. What should I consider financially when choosing to work abroad?

  17. I'm an 80 year old making increasing required minimum distribution (RMD) tax payments. I plan to convert my IRA to a Roth IRA and pay the taxes for the total RMD. Will I be able to withdraw funds from the Roth the year following the conversion? I understa

  18. What is the best retirement plan option for a physician with her own practice, employees and a desire to fund her retirement without making things complicated? She'd like to avoid plans that rely on a stringent income test or require all employees to part

  19. Do convertible bonds have voting rights?

  20. What does 'froth' mean in terms of the real estate market?

  21. What does the term "stock-for-stock" mean?

  22. I have several jobs. Can I contribute the maximum to multiple employer retirement plans?

  23. What's the difference between institutional and non-institutional investors?

  24. What is the relationship between oil prices and inflation?

  25. Which is the best index to use to study the possible future price action of a given small-cap stock?

  26. Can an IRA beneficiary roll the IRA over into another account and designate another beneficiary?

  27. Can a bond be traded over-the-counter?

  28. Why are options very active when they are at the money?

  29. Why isn't the EUR/USD currency pair quoted as USD/EUR?

  30. Why is it that when investors realize returns on a mutual fund, its price tends to fall?

  31. What is relative strength?

  32. How do segregated funds differ from mutual funds?

  33. What is authorized stock?

  34. What are the advantages and disadvantages for a company going public?

  35. If a company undergoes an acquisition can an employee withdraw 401(k) funds tax free?

  36. Is preferred stock an equity or a fixed-income security?

  37. What are the most common currency pairs traded in the forex market?

  38. Do I need to hit my 401(k) contribution limit before I can begin making catch-up contributions?

  39. Is it possible to take the Series 6 exam without being sponsored?

  40. Since I do not have a certificate of completion, where can I get a copy of my exam score(s)?

  41. What forms of ID are acceptable for admittance into the CFA examination room?

  42. My family owns an old railroad bond from 1938. Is there any way to find out whether this still has any value?

  43. Is my Series 63 registration transferable to another state?

  44. If I have passed the Series 7 exam, do I need to write the 6 and 63 exams as well?

  45. Is it possible to take the Series 7 exam without being sponsored?

  46. How do central banks inject money into the economy?

  47. How can I improve my credit score?

  48. Health problems caused me to take my RMD after the deadline. Can I appeal my case to the IRS?

  49. What is the broken window fallacy?

  50. How do I open a Swiss bank account, and what makes them so special?

  51. If I take a severance package from my employer, how will it be taxed?

  52. What is comparative advantage?

  53. Why was Microsoft subject to antitrust charges in 1998?

  54. What is a blank-check company?

  55. How can I buy oil as an investment?

  56. What is a "daisy chain"?

  57. What is an alienation clause?

  58. What is earnings management?

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

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

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

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

  63. How does FINRA differ from the SEC?

  64. Are certificates of deposit a kind of bond?

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

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

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

  68. What is a treasury stock?

  69. What is a DRIP?

  70. What is a CUSIP number?

  71. What is the carbon trade?

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

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

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

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

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

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

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

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

  80. 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?

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

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

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

  84. 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?

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

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

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

  88. Can a bond have a negative yield?

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

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

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

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

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

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

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

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

  97. Do I have to continue SEPPs for an inherited IRA?

  98. I am rolling my 401(k) into an IRA. After a year, can I convert this amount to a Roth IRA tax free?

  99. Which States do not require a Representative to write the Series 63 exam?

  100. How can I use a child tax credit?

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