FROM "BROKER-DEALER DEBUTS AT PIMCO," ON PAGE 37:

1. What is the historical range for bonds pegged to the 10-year Treasury?

a. 6.5% to 7.5%

b. 6% to 8%

c. 10% to 12%

d. 5% to 7%

 

FROM "OFF TO THE RACES," ON PAGE 41:

2. Financial services accounts for 14% ofHarding Loevner Global Equity fund assets, _____ the amount it held in 2008.

a. half

b. exactly the same

c. triple

d. double

 

FROM "THE SEASON OF GIVING," ON PAGE 45:

3. President Obama has proposed reducing the present estate-tax exemption to what level?

a. $2 million

b. $3.5 million

c. $4 million

d. $3 million

 

FROM "BEHAVIOR MODIFICATION," ON PAGE 81:

4. Which of these questions should be part of clients' money script log?

a. What was the trigger?

b. What was your impulse?

c. What did you do?

d. All of the above.

 

from "paying dividends," on page 89:

5. Aside from deep-seated uncertainty, what handicaps investors developing income-stock strategies?

a. a lack of funds to invest

b. a thin pool of choices

c. misunderstanding investment fundamentals

d. unrealistic expectations for returns

 

FROM "DYI ANNUITY," ON PAGE 93:

6. When building an equity-indexed, annuity-like portfolio, advisors should start by combining what two products?

a. high-yielding long-term CD with low-cost stock index fund or ETF

b. bond with dividend stock

c. bond with life insurance

d. short-term Treasury with convertible bond

 

7. The Lost Decade of 2000 to 2009 included the collapse of both the real estate and technology bubbles and still broke even.

TRUE

FALSE

 

FROM "STILL SEEKING STABILITY," ON PAGE 97:

8. Over the 41-year period ending Dec. 31, 2010, U.S. large-cap equity had an annualized return of ___, and standard deviation of ___.

a. 11%, 18%

b. 5%, 8.5%

c. 12%, 19%

d. 10%, 17.91%

 

FROM "NEWSLETTER READINGS," ON PAGE 100:

9. According to Mark Hulbert, which year of a presidential cycle is almost always an up year for the stock market?

a. first

b. second

c. third

d. fourth

 

FROM "HANGING ON," ON PAGE 103:

10. In February, West Texas Intermediate, the benchmark U.S. oil contract, rose to $101.10 a barrel for _____.

a. June delivery

b. July delivery

c. April delivery

d. May delivery