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The Investment FAQ (part 1 of 20)

( Part1 - Part2 - Part3 - Part4 - Part5 - Part6 - Part7 - Part8 - Part9 - Part10 - Part11 - Part12 - Part13 - Part14 - Part15 - Part16 - Part17 - Part18 - Part19 - Part20 )
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Archive-name: investment-faq/general/part1
Version: $Id: part01,v 1.62 2005/01/05 12:40:47 lott Exp lott $
Compiler: Christopher Lott

See reader questions & answers on this topic! - Help others by sharing your knowledge
This is the table of contents for the plain-text version of
The Investment FAQ, and is the first part of a 20-part posting.
Please visit The Investment FAQ web site for the latest version:
    http://invest-faq.com/

The Investment FAQ is a collection of articles about investments and
personal finance, including stocks, bonds, mutual funds, options,
discount brokers, information sources, life insurance, etc.  Although
the FAQ is more of a reference than a tutorial, if you pick your
articles carefully, the FAQ can serve as a comprehensive, unbiased
introduction to investing.


Terms of Use

The following terms and conditions apply to the plain-text version of
The Investment FAQ that is posted regularly to various newsgroups.
Different terms and conditions apply to documents on The Investment
FAQ web site.

The Investment FAQ is copyright 2005 by Christopher Lott, and is
protected by copyright as a collective work and/or compilation, 
pursuant to U.S. copyright laws, international conventions, and other
copyright laws.  The contents of The Investment FAQ are intended for
personal use, not for sale or other commercial redistribution.
The plain-text version of The Investment FAQ may be copied, stored,
made available on web sites, or distributed on electronic media
provided the following conditions are met: 
    + The URL of The Investment FAQ home page is displayed prominently.
    + No fees or compensation are charged for this information,
      excluding charges for the media used to distribute it.
    + No advertisements appear on the same web page as this material.
    + Proper attribution is given to the authors of individual articles.
    + This copyright notice is included intact.


Disclaimers

Neither the compiler of nor contributors to The Investment FAQ make
any express or implied warranties (including, without limitation, any
warranty of merchantability or fitness for a particular purpose or
use) regarding the information supplied.  The Investment FAQ is
provided to the user "as is".  Neither the compiler nor contributors
warrant that The Investment FAQ will be error free. Neither the
compiler nor contributors will be liable to any user or anyone else
for any inaccuracy, error or omission, regardless of cause, in The
Investment FAQ or for any damages (whether direct or indirect,
consequential, punitive or exemplary) resulting therefrom.  

Rules, regulations, laws, conditions, rates, and such information
discussed in this FAQ all change quite rapidly.  Information given
here was current at the time of writing but is almost guaranteed to be
out of date by the time you read it.  Mention of a product does not
constitute an endorsement. Answers to questions sometimes rely on
information given in other answers.  Readers outside the USA can reach
US-800 telephone numbers, for a charge, using a service such as MCI's
Call USA.  All prices are listed in US dollars unless otherwise
specified. 

Availability of the FAQ

    Web:
        http://invest-faq.com/
    Anonymous ftp: 
        site: rtfm.mit.edu
        path: /pub/usenet-by-group/news.answers/investment-faq/general/*
    Email:
	address: mail-server@rtfm.mit.edu
	required msg body:
	    send usenet-by-group/news.answers/investment-faq/general/*
    News:
        posted monthly to misc.invest.misc, misc.invest.stocks,
        misc.invest.mutual-funds, misc.invest.technical, misc.invest.options,
        and the moderated groups misc.answers & news.answers.
                          
Please send comments and new submissions to the compiler.

--------------------Check http://invest-faq.com/ for updates------------------

TABLE OF CONTENTS

    Advice - Beginning Investors                                      part 2
    Advice - Buying a Car at a Reasonable Price                       part 2
    Advice - Errors in Investing                                      part 2
    Advice - Using a Full-Service Broker                              part 2
    Advice - Mutual-Fund Expenses                                     part 2
    Advice - One-Line Wisdom                                          part 2
    Advice - Paying for Investment Advice                             part 2
    Advice - Researching a Company                                    part 2
    Advice - Target Stock Prices                                      part 2
    Analysis - Amortization Tables                                    part 2
    Analysis - Annual Reports                                         part 2
    Analysis - Beta and Alpha                                         part 2
    Analysis - Book-to-Bill Ratio                                     part 2
    Analysis - Book Value                                             part 2
    Analysis - Computing Compound Return                              part 2
    Analysis - Future and Present Value of Money                      part 2
    Analysis - Goodwill                                               part 2
    Analysis - Internal Rate of Return (IRR)                          part 3
    Analysis - Paying Debts Early versus Making Investments           part 3
    Analysis - Price-Earnings (P/E) Ratio                             part 3
    Analysis - Percentage Rates                                       part 3
    Analysis - Risks of Investments                                   part 3
    Analysis - Return on Equity versus Return on Capital              part 3
    Analysis - Rule of 72                                             part 3
    Analysis - Same-Store Sales                                       part 3
    Bonds - Basics                                                    part 3
    Bonds - Amortizing Premium                                        part 3
    Bonds - Duration Measure                                          part 3
    Bonds - Moody Bond Ratings                                        part 3
    Bonds - Municipal Bond Terminology                                part 4
    Bonds - Relationship of Price and Interest Rate                   part 4
    Bonds - Tranches                                                  part 4
    Bonds - Treasury Debt Instruments                                 part 4
    Bonds - Treasury Direct                                           part 4
    Bonds - U.S.  Savings Bonds                                       part 4
    Bonds - U.S.  Savings Bonds for Education                         part 4
    Bonds - Value of U.S.  Treasury Bills                             part 4
    Bonds - Zero-Coupon                                               part 4
    CDs - Basics                                                      part 4
    CDs - Market Index Linked                                         part 4
    Derivatives - Basics                                              part 4
    Derivatives - Black-Scholes Option Pricing Model                  part 5
    Derivatives - Futures                                             part 5
    Derivatives - Futures and Fair Value                              part 5
    Derivatives - Stock Option Basics                                 part 5
    Derivatives - Stock Option Covered Calls                          part 5
    Derivatives - Stock Option Covered Puts                           part 5
    Derivatives - Stock Option Ordering                               part 5
    Derivatives - Stock Option Splits                                 part 5
    Derivatives - Stock Option Symbols                                part 5
    Derivatives - LEAPs                                               part 5
    Education Savings Plans - Section 529 Plans                       part 5
    Education Savings Plans - Coverdell                               part 5
    Exchanges - The American Stock Exchange                           part 5
    Exchanges - The Chicago Board Options Exchange                    part 5
    Exchanges - Circuit Breakers, Curbs, and Other Trading            part 6
    Exchanges - Contact Information                                   part 6
    Exchanges - Instinet                                              part 6
    Exchanges - Market Makers and Specialists                         part 6
    Exchanges - The NASDAQ                                            part 6
    Exchanges - The New York Stock Exchange                           part 6
    Exchanges - Members and Seats on AMEX                             part 6
    Exchanges - Ticker Tape Terminology                               part 6
    Financial Planning - Basics                                       part 6
    Financial Planning - Choosing a Financial Planner                 part 6
    Financial Planning - Compensation and Conflicts of Interest       part 6
    Financial Planning - Estate Planning Checkup                      part 6
    Information Sources - Books                                       part 7
    Information Sources - Conference Calls                            part 7
    Information Sources - Free to All Who Ask                         part 7
    Information Sources - Investment Associations                     part 7
    Information Sources - Value Line                                  part 7
    Information Sources - Wall $treet Week                            part 7
    Insurance - Annuities                                             part 8
    Insurance - Life                                                  part 8
    Insurance - Viatical Settlements                                  part 8
    Insurance - Variable Universal Life (VUL)                         part 8
    Mutual Funds - Basics                                             part 8
    Mutual Funds - Average Annual Return                              part 8
    Mutual Funds - Buying from Brokers versus Fund Companies          part 8
    Mutual Funds - Distributions and Tax Implications                 part 9
    Mutual Funds - Fees and Expenses                                  part 9
    Mutual Funds - Index Funds and Beating the Market                 part 9
    Mutual Funds - Money-Market Funds                                 part 9
    Mutual Funds - Reading a Prospectus                               part 9
    Mutual Funds - Redemptions                                        part 9
    Mutual Funds - Types of Funds                                     part 9
    Mutual Funds - Versus Stocks                                      part 9
    Real Estate - 12 Steps to Buying a Home                           part 9
    Real Estate - Investment Trusts (REITs)                           part 9
    Real Estate - Renting versus Buying a Home                        part 10
    Regulation - Accredited Investor                                  part 10
    Regulation - Full Disclosure                                      part 10
    Regulation - Money-Supply Measures M1, M2, and M3                 part 10
    Regulation - Federal Reserve and Interest Rates                   part 10
    Regulation - Margin Requirements                                  part 10
    Regulation - Securities and Exchange Commission (U.S.)            part 10
    Regulation - SEC Rule 144                                         part 10
    Regulation - SEC Registered Advisory Service                      part 10
    Regulation - SEC/NASDAQ Settlement                                part 10
    Regulation - Series of Examinations/Registrations                 part 10
    Regulation - SIPC, or How to Survive a Bankrupt Broker            part 10
    Retirement Plans - 401(k)                                         part 11
    Retirement Plans - 401(k) for Self-Employed People                part 11
    Retirement Plans - 403(b)                                         part 11
    Retirement Plans - 457(b)                                         part 11
    Retirement Plans - Co-mingling funds in IRA accounts              part 11
    Retirement Plans - Keogh                                          part 11
    Retirement Plans - Roth IRA                                       part 11
    Retirement Plans - SEP IRA                                        part 11
    Retirement Plans - Traditional IRA                                part 12
    Software - Archive of Free Investment-Related Programs            part 12
    Software - Portfolio Tracking and Technical Analysis              part 12
    Stocks - Basics                                                   part 12
    Stocks - American Depositary Receipts (ADRs)                      part 12
    Stocks - Cyclicals                                                part 12
    Stocks - Dividends                                                part 12
    Stocks - Dramatic Price Changes                                   part 12
    Stocks - Holding Company Depositary Recepits (HOLDRs)             part 12
    Stocks - Income and Royalty Trusts                                part 12
    Stocks - Types of Indexes                                         part 12
    Stocks - The Dow Jones Industrial Average                         part 13
    Stocks - Other Indexes                                            part 13
    Stocks - Market Volatility Index (VIX)                            part 13
    Stocks - Investor Rights Movement                                 part 13
    Stocks - Initial Public Offerings (IPOs)                          part 13
    Stocks - Mergers                                                  part 13
    Stocks - Market Capitalization                                    part 13
    Stocks - Outstanding Shares and Float                             part 13
    Stocks - Preferred Shares                                         part 13
    Stocks - Price Basis                                              part 13
    Stocks - Price Tables in Newspapers                               part 13
    Stocks - Price Data                                               part 13
    Stocks - Replacing Lost Certificates                              part 13
    Stocks - Repurchasing by Companies                                part 14
    Stocks - Researching the Value of Old Certificates                part 14
    Stocks - Reverse Mergers                                          part 14
    Stocks - Shareholder Rights Plan                                  part 14
    Stocks - Splits                                                   part 14
    Stocks - Tracking Stock                                           part 14
    Stocks - Exchange-Traded Funds and Unit Investment Trusts         part 14
    Stocks - Warrants                                                 part 14
    Strategy - Dogs of the Dow                                        part 14
    Strategy - Dollar Cost and Value Averaging                        part 14
    Strategy - Hedging                                                part 14
    Strategy - Buying on Margin                                       part 14
    Strategy - Writing Put Options To Acquire Stock                   part 14
    Strategy - Socially Responsible Investing                         part 14
    Strategy - When to Buy/Sell Stocks                                part 14
    Strategy - Survey of Stock Investment Strategies                  part 15
    Strategy - Value and Growth                                       part 15
    Tax Code - Backup Withholding                                     part 15
    Tax Code - Capital Gains Cost Basis                               part 15
    Tax Code - Capital Gains Computation                              part 15
    Tax Code - Capital Gains Tax Rates                                part 15
    Tax Code - Cashless Option Exercise                               part 15
    Tax Code - Deductions for Investors                               part 15
    Tax Code - Estate and Gift Tax                                    part 15
    Tax Code - Gifts of Stock                                         part 15
    Tax Code - Non-Resident Aliens and US Holdings                    part 16
    Tax Code - Reporting Option Trades                                part 16
    Tax Code - Short Sales Treatment                                  part 16
    Tax Code - Tax Swaps                                              part 16
    Tax Code - Uniform Gifts to Minors Act (UGMA)                     part 16
    Tax Code - Wash Sale Rule                                         part 16
    Technical Analysis - Basics                                       part 16
    Technical Analysis - Bollinger Bands                              part 16
    Technical Analysis - Black-Scholes Model                          part 16
    Technical Analysis - Commodity Channel Index                      part 16
    Technical Analysis - Charting Services                            part 16
    Technical Analysis - Data Sources                                 part 16
    Technical Analysis - Elliott Wave Theory                          part 16
    Technical Analysis - Information Sources                          part 17
    Technical Analysis - MACD                                         part 17
    Technical Analysis - McClellan Oscillator and Summation Index     part 17
    Technical Analysis - On Balance Volume                            part 17
    Technical Analysis - Relative Strength Indicator                  part 17
    Technical Analysis - Stochastics                                  part 17
    Trading - Basics                                                  part 17
    Trading - After Hours                                             part 17
    Trading - Bid, Offer, and Spread                                  part 17
    Trading - Brokerage Account Types                                 part 17
    Trading - Discount Brokers                                        part 17
    Trading - Direct Investing and DRIPs                              part 18
    Trading - Electronically and via the Internet                     part 18
    Trading - Free Ride Rules                                         part 18
    Trading - By Insiders                                             part 18
    Trading - Introducing Broker                                      part 18
    Trading - Jargon and Terminology                                  part 18
    Trading - NASD Public Disclosure Hotline                          part 18
    Trading - Buy and Sell Stock Without a Broker                     part 18
    Trading - Non-Resident Aliens and US Exchanges                    part 18
    Trading - Off Exchange                                            part 18
    Trading - Opening Prices                                          part 18
    Trading - Order Routing and Payment for Order Flow                part 19
    Trading - Day, GTC, Limit, and Stop-Loss Orders                   part 19
    Trading - Pink Sheet Stocks                                       part 19
    Trading - Price Improvement                                       part 19
    Trading - Process Date                                            part 19
    Trading - Round Lots of Shares                                    part 19
    Trading - Security Identification Systems                         part 19
    Trading - Shorting Stocks                                         part 19
    Trading - Shorting Against the Box                                part 19
    Trading - Size of the Market                                      part 19
    Trading - Tick, Up Tick, and Down Tick                            part 19
    Trading - Transferring an Account                                 part 19
    Trading - Can You Trust The Tape?                                 part 20
    Trading - Selling Worthless Shares                                part 20
    Trivia - Bull and Bear Lore                                       part 20
    Trivia - Presidential Portraits on U.S.  Notes                    part 20
    Trivia - Getting Rich Quickly                                     part 20
    Trivia - One-Letter Ticker Symbols on NYSE                        part 20
    Trivia - Stock Prices in Sixteenths                               part 20
    Warning - Wade Cook                                               part 20
    Warning - Charles Givens                                          part 20
    Warning - Dave Rhodes and Other Chain Letters                     part 20
    Warning - Ken Roberts                                             part 20
    Warning - Selling Unregistered Securities                         part 20

--------------------Check http://invest-faq.com/ for updates------------------

Compiler's Acknowledgements:
My sincere thanks to the many contributors for their efforts. 

Compilation Copyright (c) 2005 by Christopher Lott.

User Contributions:

Gerri Pisciotta
Report this comment as inappropriate
Nov 9, 2012 @ 9:09 am
My employer accidentally advised the company handling the 401k investment that I had been terminated, when in fact I had not. As a result, withdrawals discontinued from my pay and I missed a couple years of contributions. Since I never withdrew from the plan, is my employer liable for making up these contributions? If I made a lump sum catchup contribution,could they do the same?

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