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  1. How do interest rate changes implemented by the Fed affect the stock market?

  2. What is a blank-check company?

  3. What does it mean to have "dry powder"?

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

  5. I'm a teacher. Which is better for me, a 401(k) or 403(b)? What is the difference? From whom do I get these plans?

  6. How are the interest charges calculated on my margin account?

  7. 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?

  8. I've heard some "market gurus" claim returns of up to 400% annually. Is this possible?

  9. What does it mean to use technical divergence in trading?

  10. Does the party loaning shares in a short sale transaction benefit in any way other than from the interest earned on the loan?

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

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

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

  14. If a country's currency is determined by the strength of its economy, why isn't the U.S. dollar worth more than the British pound?

  15. How do companies benefit from interest rate and currency swaps?

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

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

  18. Can investors short sell pink sheet or over-the-counter stocks?

  19. Can I roll my 403(b) and 457 into other low-cost venders when I change jobs?

  20. Do I have to complete all exams within a certain period of time to receive the CFA charter?

  21. I hold a professional degree. Am I eligible to sit for the Certified Financial Planner (CFP)certification examination?

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

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

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

  25. What do people mean when they say there is a "bubble" going on in the market, such as a "housing bubble" or a "technology bubble"?

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

  27. What is an echo bubble?

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

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

  30. My broker just sold securities out of my account without my permission. Is this legal?

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

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

  33. What investments are available to someone with no earned income?

  34. I make over $100,000/yr and my adjusted gross income precludes standard IRA contributions. My contributions to my 401(k) plan at work are limited to about $7,000/yr. It seems I'm being penalized for my income. Are there other retirement savings options av

  35. What is the difference between a merger and a takeover?

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

  37. What are the disadvantages of using net present value as an investment criterion?

  38. What are the steps to get a company listed on the OTCBB?

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

  40. What is the best time of the day to trade?

  41. What should I use as a benchmark for my small-cap stock portfolio?

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

  43. How do I become a CFA charterholder?

  44. I failed the Series 6 exam. How long must I wait before I can re-take it?

  45. What careers are popular among CFA charterholders?

  46. Does FINRA make any allowances for people whose first language is not English?

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

  48. Is scalping a viable forex trading strategy?

  49. What causes a recession?

  50. Who is Mr. Copper?

  51. How does pyramiding work?

  52. Where can I find a company's annual report and its SEC filings?

  53. What is late-day trading? Why is it any different from buying and selling stocks in the after-hours market?

  54. What is arbitrage?

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

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

  57. If an IRA owner dies after starting required minimum distributions (RMD) but the spouse is under 70.5, can the spouse roll over the IRA into his/her own IRA, and stop RMDs until age 70.5?

  58. My brokerage firm won't allow naked option positions. What does this mean?

  59. How are foreign exchange rates affected by commodity price fluctuations?

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

  61. Can an option be exercised on the expiration date?

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

  63. What is relative strength?

  64. What is options backdating?

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

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

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

  68. Can I obtain my CFA charter without U.S. work experience?

  69. Do I need to be a U.S. resident to take the Series 63 exam as an individual?

  70. How does a credit crunch occur?

  71. What types of accounts are available for forex trading?

  72. How are stock warrants different from stock options?

  73. What is a gatekeeper?

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

  75. How does FINRA differ from the SEC?

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

  77. When must a company announce earnings?

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

  79. What are the minimum margin requirements for a short sale account?

  80. How can I hedge against rising diesel prices?

  81. What do the "BxA" numbers on my brokerage's trading screen mean?

  82. 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?

  83. What does it mean when the shares in my account have been liquidated?

  84. What does the diluted share price reveal about a company's financial strength?

  85. What am I buying and selling in the forex market?

  86. Can I trade a currency when its main market is closed?

  87. Is an earnings surprise priced into the opening value by market makers or does the buyer/seller response drive the price?

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

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

  90. Do I need to be sponsored or employed by a member firm in order to write the Series 66 exam?

  91. I have already obtained my Series 7; however, I am no longer working for a member firm. How do I prevent my license from expiring?

  92. If my employment with my current firm terminates relatively soon, do I have two years before my FINRA exams expire no matter how long I was with the last member firm?

  93. How can I withdraw from my CFA Level 1 exam?

  94. What are managed futures?

  95. What is a Bermuda swaption?

  96. What does negative shareholder equity on a balance sheet mean?

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

  98. What happens to the stock prices of two companies involved in an acquisition?

  99. Are long-term U.S. government bonds risk-free?

  100. 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?

Marketplace
Last Questions Asked:
  1.

    If a LEAP option is purchased and held for more than 12 months, is the tax treatment long term?

  2. What happens if I cannot pay a margin call?

  3. Is there ever a bad time to invest in gold?

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