FAQs tagged as


  1. A formula timing plan which consists of periodic purchases of a fixed dollar amount of an investment company regardless of price is known as:

  2. Which investment would be most suitable for a client investing for retirement and seeking protection from purchasing power risk in the future?

  3. Is there a buy-and-hold strategy in forex, or is the only way to make money by trading?

  4. What's the difference between weighted average accounting and FIFO/LILO accounting methods?

  5. Excessive trading is:

  6. Which of these is not one of Porter's 5 competitive forces?

  7. If a client has a very low risk tolerance, all of the following might be suitable investments EXCEPT:

  8. Type Of Return

  9. How much money do I need to start trading?

  10. The reason why ERISA qualified plans should have an investment policy statement is to:

  11. When and why did brokerages switch from fixed commissions to negotiated ones?

  12. How do name-brand products compete with their generic competitors?

  13. What are some of the key differences between IFRS and U.S. GAAP?

  14. The real rate of return is the amount of interest earned over and above the?

  15. The BEST definition of a benchmark portfolio is:

  16. Is short selling allowed in India?

  17. What is the difference between the bond market and the stock market?

  18. Why are most bonds traded on the secondary market "over the counter"?

  19. What are the advantages and disadvantages of mutual funds?

  20. What is the difference between a Ponzi and a pyramid scheme?

  21. Under the USA, there are antifraud provisions that apply to securities. Which of the following statements is true?

  22. What is a "wash sale"?

  23. Where do I look for fees that I am charged on investments? What are those fees called?

  24. When diversifying a bond portfolio, you should make sure to take into account all of the following EXCEPT:

  25. Which transactions affect the retained earnings statement?

  26. How quickly should my financial advisor sell a stock that I have asked him or her to sell for me?

  27. If I buy a stock at $45 and I put a stop limit in to sell at $40, will I be guaranteed a sell once the stock has reached this price?

  28. Why are traders on the floor of the exchange?

  29. How do I know when to "rebalance" my investments?

  30. Who was the first person charged by the SEC?

  31. Why is Game Theory useful in business?

  32. How are oil reserves accounted for on an oil company's balance sheet?

  33. The “effective date” is defined as:

  34. What are the differences between AMEX and Nasdaq?

  35. The primary reason for an IA to rebalance a client’s portfolio is to:

  36. Should computer software be classified as an intangible asset or part of property, plant and equipment?

  37. In a corporate liquidation, why are unpaid taxes and wages paid before general creditors but after secured bondholders?

  38. The interest rate used to define the “risk-free” rate of return is the

  39. What is the McGinley Dynamic?

  40. What are the GAAP standards for digital document storage?

  41. What's the difference between consumer confidence and consumer sentiment?

  42. Do stocks that trade with a large daily volume generally have less volatility?

  43. Which is NOT a component of investment income?

  44. Which two companies underwent the biggest corporate merger of the 1990s?

  45. Who set the record loss for "rogue traders"?

  46. What was the South Seas bubble?

  47. How do companies calculate revenue?

  48. Who was the youngest CEO to be indicted for securities fraud?

  49. What did Knight Trading Group do to incur a $1.5 million fine for violating trading rules?

  50. When holding an option through expiration date, are you automatically paid any profits, or do you have to sell the option and pay commissions?

  51. How do I choose which insurance company to use?

  52. How does accrual accounting differ from cash basis accounting?

  53. How do I value the shares that I own in a private company?

  54. Does a company logo change require a material disclosable event?

  55. Where did the term "tenbagger" originate?

  56. What is the difference between systemic risk and systematic risk?

  57. What are all of the securities markets in the U.S.A?

  58. What does "gather in the stops" mean?

  59. What is a V-shaped recovery and how is it different from other recoveries?

  60. What does it mean when futures prices are in contango?

  61. What happens to a stop order after a stock splits?

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

  63. Do speculators have a destabilizing effect on the financial system?

  64. What is an unregistered mutual fund?

  65. What is a permanent portfolio?

  66. How do you use a back-to-back loan?

  67. What is a growth recession?

  68. Is it possible to short sell real estate?

  69. Does the balance sheet always balance?

  70. The conduit theory...

  71. What is moral hazard?

  72. What is the difference between investing and speculating?

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

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

  75. What does it mean when "N/A" appears for a company's P/E ratio?

  76. What does churning mean?

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

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

  79. How did corporate ownership almost lead to the ruin of Adelphia in 2002?

  80. What burst the Mississippi bubble?

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

  82. What is "hammering"?

  83. Is there short selling in China?

  84. Which statement is FALSE about a prospectus issued under the Securities Act of 1933?

  85. What is a "phishing scam" and how can they be avoided?

  86. What was the millionaire boom?

  87. What would happen to a company's external fund requirements if it reduces the payout ratio, or if it suffers a decline in its profit margin?

  88. What is the performance cult?

  89. What's the difference between EBITDA, EBITDAR and EBITDARM?

  90. Given the below information, all of the following statements are FALSE regarding this existing margin account EXCEPT:

  91. All of the following statements about convertible bonds are FALSE EXCEPT:

  92. What was the Mahonia company and why did it become the subject of a lawsuit?

  93. What is the Coppock curve?

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

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

  96. Why did the Department of Justice launch an inquiry into the sale of ImClone shares in 2001?

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

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

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

  100. What is financial double-dipping?

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