Markets FAQs

  1. What was the Gold Reserve Act?

  2. What is moral hazard?

  3. Under the Investment Company Act of 1940, an investment company must have minimum net assets of how much before it can issue shares to the public?

  4. Which statement(s) is/are FALSE about market risk?

  5. What is the difference between an acquisition and a takeover?

  6. What was the first company with a $1 billion market cap?

  7. All of these apply to an option exercise notice EXCEPT:

  8. Why should I invest in the market when I can buy and sell houses or cars?

  9. What are some cheaper alternatives to sending children to summer camp?

  10. What burst the Mississippi bubble?

  11. Which statement about the New York Stock Exchange is FALSE?

  12. Is there short selling in China?

  13. When and why did the euro make its debut as a currency?

  14. How do indexes determine which stocks are removed or added to them?

  15. What is a Greenspan put?

  16. When did the U.S. start using paper money?

  17. What was the millionaire boom?

  18. How do I invest in the Nasdaq or the NYSE? Is it even possible? Would I want to?

  19. Which day is known as China's "Black Tuesday" and why?

  20. How do I know if I am buying unregistered securities or stocks?

  21. What are unregistered securities or stocks?

  22. Why did Tyco's financial statements attract the SEC's attention in 2002?

  23. Why would a company do a reverse merger instead of an IPO?

  24. Why is Frank Quattrone credited with contributing to the growth of the dotcom bubble?

  25. Where can I find all of the stocks in the Dow Jones Industrial Average?

  26. What is the difference between return on equity and return on capital?

  27. What is an unregistered security scam?

  28. What currency is affected by the interest rate decisions of the Bank of England (BoE)?

  29. What does it mean when advertisers say that "financing is available"? Should I trust them to give me a good deal?

  30. What is the difference between inflation and stagflation?

  31. Investment advisors must register with the SEC when their assets under management total what amount?

  32. What is the salad oil scandal?

  33. What are the penalties for withdrawing from my Traditional IRA less than a year after acquisition?

  34. What is the downtick-uptick rule on the NYSE?

  35. What business processes were used to establish the Chevrolet motor company?

  36. Which of the following are tools that are employed by the Federal Reserve in its efforts to control the money supply?

  37. What is a wild-card play?

  38. How did currency trader John Rusnak hide $691 million in losses before being caught for bank fraud?

  39. What is a vest fleece?

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

  41. I overcontributed to my 401(k). What are my options?

  42. How does FINRA differ from the SEC?

  43. I know there is a form of deposit insurance where a portion of my bank account deposits is protected. Is there anything like this for my investments?

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

  45. How does a pump and dump scam work?

  46. I made involuntary contributions to a retirement plan while temporarily employed. Can I withdraw these funds without penalty?

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

  48. I am a non-U.S. citizen living outside the U.S. and trading stocks through a U.S. internet broker. Do I have to pay taxes on the money I earn?

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

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

  51. How do businesses decide whether to do FDI via green field investments or acquisitions?

  52. Are eurodollars related to the currency called the euro?

  53. Where do investors tend to put their money in a bear market?

  54. Am I qualified once I complete my FINRA certification exam?

  55. What causes a recession?

  56. Why did dotcom companies crash so drastically?

  57. What is variable life insurance?

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

  59. What's the difference between "top-down" and "bottom-up" investing?

  60. Why should I invest?

  61. 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?

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

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

  64. What's the difference between old- and new-economy stocks?

  65. What happens to the fines collected by the Securities and Exchange Commission?

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

  67. How is a put option exercised?

  68. What is the difference between hedging and speculation?

  69. Why is the U.S. stock market doing well despite the recent U.S. economic downturn?

  70. How are futures used to hedge a position?

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

  72. I passed my Series 7 exam, but I terminated employment at my sponsoring firm before I received my license. Is my exam still valid?

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

  74. How are stock warrants different from stock options?

  75. What are the Gnomes of Zurich?

  76. What is a back door listing?

  77. How do I use a "basket" option?

  78. What exactly is insider trading?

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

  80. I have a short period of time (1 year or less) during which I will have money to invest. What are my investment options?

  81. If I am American, can I buy a foreign mutual fund?

  82. What are defensive stocks?

  83. Is technical analysis used only to analyze stocks?

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

  85. What is dilutive stock?

  86. Where can I get bond market quotes?

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

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

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

  90. How can unethical executives use options backdating to evade taxes?

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

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

  93. What is a blank-check company?

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

  95. What is earnings management?

  96. What do the S&P, Dow and Nasdaq futures contracts represent?

  97. If everyone is selling in a bear market, does your broker have to buy your shares from you? If so, won't he be losing his shirt?

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

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

  100. Why would a person choose a mutual fund over an individual stock?

Trading Center