Markets FAQs

  1. What is the significance of a Schedule 13D?

  2. The SEC's Rule 144

  3. What is a permanent portfolio?

  4. What is an unregistered mutual fund?

  5. What is a growth recession?

  6. Is it possible to short sell real estate?

  7. What was the most miserable day for financial markets according to the Misery Index?

  8. A Straddle

  9. What is an alligator spread?

  10. What is the gold standard?

  11. What was the Gold Reserve Act?

  12. What is moral hazard?

  13. 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?

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

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

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

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

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

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

  20. What burst the Mississippi bubble?

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

  22. Is there short selling in China?

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

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

  25. What is a Greenspan put?

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

  27. What was the millionaire boom?

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

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

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

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

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

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

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

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

  36. What is an unregistered security scam?

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

  38. What is the difference between inflation and stagflation?

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

  40. What is the salad oil scandal?

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

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

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

  44. What is a wild-card play?

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

  46. What is a vest fleece?

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

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

  49. Who or what is Dow Jones?

  50. What do the phrases "sell to open", "buy to close", "buy to open", and "sell to close" mean?

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

  52. 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?

  53. I want to invest in equities, but I don't have much money. Is there a minimum number of shares I must buy?

  54. What causes a significant move in the stock market?

  55. How can I find out which stocks also trade as options?

  56. What does it mean when a bond has a put option?

  57. What is authorized stock?

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

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

  60. How do I register for the CFA program for the first time?

  61. What is the Pac-Man defense?

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

  63. If the stock market is so volatile, why would I want to put my money into it?

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

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

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

  67. Should I buy options that are in the money or out of the money?

  68. 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?

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

  70. What is the value of one pip and why are they different between currency pairs?

  71. Who sets the price of commodities?

  72. I am not a resident of the United States, but would like to be qualified as a registered representative in the U.S. Is it still possible for me to write the Series 7 exam?

  73. I have a CFA designation. Do I qualify for any exemptions from FINRA licensing exams?

  74. What are the oldest mutual funds, by date of inception?

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

  76. What are the listing requirements for the Nasdaq?

  77. What is the difference between a global fund and an international fund?

  78. What is a CUSIP number?

  79. What's the difference between a straddle and a strangle?

  80. What is the weighted average of outstanding shares? How is it calculated?

  81. How do I measure option liquidity?

  82. How many types of markets can an investor choose from?

  83. How do you tell whether an option is American or European style?

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

  85. Why do futures' prices converge upon spot prices during the delivery month?

  86. What does "squeezing the shorts" mean?

  87. Why do options with the same underlying stock and strike prices trade for different amounts?

  88. I've noticed executives buy a lot of stock below market value, and then they sell it for a large gain. How can they do this?

  89. How long does it take for a merger to go through?

  90. Where can I find a list of all of the stocks in the S&P 500?

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

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

  93. What is the best way to measure the total market?

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

  95. I own shares of a company that just received a delisting notice from Nasdaq. Does this mean I will lose my shares?

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

  97. How can I invest in gold?

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

  99. What is the difference between open-market and closed-market transactions?

  100. What will happen to my SEP IRA if I leave my current employer?

Trading Center