Markets FAQs

  1. Under the Investment Company Act of 1940, an investment company must have minimum ...

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

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

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

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

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

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

  8. What burst the Mississippi bubble?

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

  10. Is there short selling in China?

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

  12. What is a Greenspan put?

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

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

  15. What was the millionaire boom?

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

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

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

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

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

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

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

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

  24. What is an unregistered security scam?

  25. What does it mean when advertisers say that "financing is available"? Should I trust ...

  26. What is the difference between inflation and stagflation?

  27. Investment advisors must register with the SEC when their assets under management ...

  28. What is the salad oil scandal?

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

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

  31. Which of the following are tools that are employed by the Federal Reserve in its ...

  32. What is a wild-card play?

  33. How did currency trader John Rusnak hide $691 million in losses before being caught ...

  34. What is a vest fleece?

  35. What is earnings management?

  36. What kinds of investments are allowed in a qualified retirement plan, and what kinds ...

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

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

  39. What is a CUSIP number?

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

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

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

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

  44. What will happen to my U.S.-based stock portfolio if the U.S. dollar substantially ...

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

  46. How does a credit crunch occur?

  47. What was "Operation Wooden Nickel"?

  48. Who is Mr. Copper?

  49. What does "after the bell" mean?

  50. As a temporary resident of the US, can I withdraw funds from my Traditional IRA without ...

  51. I do not want to totally get out of my retirement 401(k), but I want to take 72(t) ...

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

  53. I'm about to retire. If I pay off my mortgage with after-tax money I have saved, ...

  54. What is a penny stock?

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

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

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

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

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

  60. I made involuntary contributions to a retirement plan while temporarily employed. ...

  61. How is spread calculated when trading in the forex market?

  62. In M&A how does an all-stock or all-cash deal affect the equity of the buying company? ...

  63. How are futures used to hedge a position?

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

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

  66. What is market capitulation?

  67. Are professionals, such as financial planners and brokers, liable for the advice ...

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

  69. Which option is better on a mutual fund: a growth option or a dividend reinvestment ...

  70. How can I hedge against rising diesel prices?

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

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

  73. How do central banks acquire currency reserves and how much are they required to ...

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

  75. Who sets the price of commodities?

  76. Do I need to take the Series 6 examination after I have already successfully completed ...

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

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

  79. What causes a recession?

  80. Why did dotcom companies crash so drastically?

  81. What is a blackout period?

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

  83. I have a short period of time (1 year or less) during which I will have money to ...

  84. What exactly is a company's float?

  85. What is an efficient market and how does it affect individual investors?

  86. If an IRA owner dies after starting required minimum distributions (RMD) but the ...

  87. What does the 'FIG' at an investment bank refer to?

  88. Do stop or limit orders protect you against gaps in a stock's price?

  89. If I reject the tender offer for acquisition of the stock that I own in a company ...

  90. If a country's currency is determined by the strength of its economy, why isn't the ...

  91. How does leverage work in the forex market?

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

  93. What economic indicators are especially important to oil traders?

  94. I am not a resident of the United States, but would like to be qualified as a registered ...

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

  96. How can I find out if my employer is a member of FINRA?

  97. How are stock warrants different from stock options?

  98. What does "guns and butter" refer to?

  99. What is the "Nifty 50"?

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

  101. What does "in street name" mean, and why are securities held this way?

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