The Investment FAQ - Table of Contents

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This is the table of contents for the plain-text version of
The Investment FAQ, and is the first part of a 18-part posting.
Please visit The Investment FAQ web site for the latest version:

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.


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

--------------------Check for updates------------------

Compiler's Acknowledgements:
My sincere thanks to the many submitters for their efforts. Also thanks to
Jonathan I. Kamens for his guidance on FAQs and his post_faq perl script.

Compilation Copyright (c) 2000 by Christopher Lott.

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 2000 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.


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

Availability of the FAQ

Anonymous ftp:
path: /pub/usenet-by-group/news.answers/investment-faq/general/*
required msg body:
send usenet-by-group/news.answers/investment-faq/general/*
posted monthly to misc.invest.misc, misc.invest.stocks,, misc.invest.technical, misc.invest.options,
and the moderated groups misc.answers & news.answers.

Please send comments and new submissions to the compiler.

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