FAQs tagged as


  1. Is it important to check the professional history of my investment advisor?

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

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

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

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

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

  7. Where does the name "Wall Street" come from?

  8. My company is the trustee of our 401k plan (which has 112 participants). What are the pros and cons of having the company instead of the plan provider/vendor as the trustee?

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

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

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

  12. Why are corporations so concerned about their stock price?

  13. I have a KSOP through my employer that I've invested 100% in company stock. I am now concerned that I'm not diversified and would like to move out of company stock and into mutual funds. Is this allowed with the funds I've contributed to the account?

  14. What was "Operation Wooden Nickel"?

  15. What's the difference between a mutual fund and a hedge fund?

  16. I converted my former IRA to a Roth for tax purposes in 1998, so even though the tax was paid over four years, am I correct to assume that this is now mine to withdraw, if I like, at no penalty? I am 60 years old.

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

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

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

  20. How does the ISIN numbering system work?

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

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

  23. 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?

  24. Can I roll over a profit-sharing plan to an SEP IRA account without suffering any tax penalties and liquidation of current positions held in this account?

  25. What is the difference between options and futures?

  26. What is dilutive stock?

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

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

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

  30. What is the difference between a Keogh and an IRA?

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

  32. How do I go about opening up a Roth IRA?

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

  34. I have several jobs. Can I contribute the maximum to multiple employer retirement plans?

  35. Why are options very active when they are at the money?

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

  37. What is variable life insurance?

  38. As a temporary resident of the US, can I withdraw funds from my Traditional IRA without penalty when I leave the country?

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

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

  41. Do I own a stock as of the trade date or the settlement date?

  42. How does leverage work in the forex market?

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

  44. How does pyramiding work?

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

  46. I own some stock warrants. How do I exercise them?

  47. Can a stop-loss order be used to protect a short sale transaction?

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

  49. What is the difference between leverage and margin?

  50. 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?

  51. What is hedging as it relates to forex trading?

  52. What is a Bermuda swaption?

  53. What's the difference between a golden handshake and a golden parachute?

  54. How do I "vest" something?

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