Index

A

  1. Absolute return
    1. targeting
    2. vehicles
  2. Accrediting analysts, impact
  3. Accumulation, annuity stage
  4. Active management, returns (measurement difficulty)
  5. Adams Express Company
  6. Adams, Scott
  7. ADRs. See American depository receipts
  8. ADT
    1. ham sandwich test
    2. management, ineptitude
  9. Advisors. See Financial advisors
  10. AIMA. See Alternative Investment Managers Association
  11. Alerian MLP ETF
  12. Alerian MLP Infrastructure Index
  13. Alternative Investment Managers Association (AIMA)
    1. Chartered Alternative Investment Analyst, partnering
    2. mission
  14. American depository receipts (ADRs)
  15. American Realty
  16. American Realty Capital
  17. Ameritas Life, annuities (sale)
  18. AMLP, launch
  19. Annuities
    1. annual fees
    2. benefits
    3. characteristics
    4. client purchases, problems
    5. commissions
    6. contract, withdrawal charge
    7. contribution limit, absence
    8. deferred annuity
    9. defining
    10. developments
    11. equity index annuities
    12. fees/charges
      1. example
    13. fiduciary standard of care
    14. fixed annuity
    15. fixed-rate annuity
    16. flexibility, absence
    17. function
    18. high-fee illiquid investments
    19. immediate annuity
    20. indexed annuities, returns (examination)
    21. insurance products, experience
    22. investment period, requirement
    23. joint annuity
    24. 1035 swap
    25. options
    26. ownership, options
    27. payments
    28. payouts, calculation
    29. period certain annuity
    30. placement
    31. requirement, absence
    32. risks
    33. sales pitch
    34. stages
    35. surrender charges
    36. survivor annuity
    37. tax-deferred earnings growth
    38. types
    39. usage, consideration
    40. variable annuities
    41. withdrawals
      1. benefits
      2. charges
      3. increase
  20. Annuitization (annuity stage)
  21. Asset allocations
    1. decisions
    2. meaning
    3. plan
    4. usage
  22. Asset portfolio, creation/management (trust)
    1. Assets classes, correlations
      1. risk/returns, variation
    2. correlation
    3. flows, politics (impact)
  23. Assets under management (AUM)
  24. Association for Investment Management and Research (AIMR)

B

  1. Backstage Wall Street (Brown)
  2. Bankers, actions
  3. Banking
    1. crisis (2008)
    2. public policy debate, absence
  4. Bank of England
  5. Barclays
    1. Aggregate Bond Index
    2. Bond Aggregate for Fixed Income (benchmark)
    3. court proceedings
    4. Libor settings, impressions
  6. Barrier options
  7. B-D. See Broker-dealer
  8. Beebower, Gilbert L.
  9. Benchmarking
    1. benchmarks, combination problems
    2. importance
    3. lag
  10. Berkshire Hathaway
    1. risk factors
  11. Black-box models
    1. portfolio
  12. Blodget
  13. Bogle, Jack
  14. Bond Dealers of America, municipal bond disclosure (increase)
  15. Bonds
    1. allocation, return expectation
    2. investment level, financial advisor determination
    3. trading
    4. yields, usage
  16. Bonds Are Not Forever (Lack)
  17. Bond underwriter, selection
  18. Borrowed money, investment reasons
  19. Bottom-up company analysis
  20. Brinson, Gary P.
  21. Brokerage, market forces
  22. Broker Check (FINRA), usage
  23. Broker-dealer (B-D)
    1. advisor, presence/perception
    2. financial advisors, presence
    3. FINRA regulation
    4. honesty
    5. model, comparison
  24. Brokers (financial advisors)
    1. accounts, reassignation
    2. asset allocation decisions
    3. career
      1. business, generation (pressure)
      2. initiation
    4. clients, vulnerability
    5. fiduciary standard, adherence
    6. municipal bond purchase, mark-up expectation
    7. negative stereotype, confirmation
    8. sales approaches
    9. trading frequency
    10. wirehouses, change (resistance)
  25. Brolley, Kevin
  26. Brown, Joshua
  27. Buffered Return Enhanced Notes (BRENs)
  28. Buffett, Warren
    1. Seides bet
  29. Burke, John
  30. Business, generation (pressure)

C

  1. CAGR. See Compound Annual Growth Rate
  2. CAIA. See Chartered Alternative Investment Analysis
  3. California Public Sector Retirement System (CalPERS)
    1. hedge fund elimination
    2. size, constraint
  4. Call options, evaluation
  5. Calls
    1. covered call strategies
  6. Capital
    1. excess
    2. flow, impact
    3. permanent capital
    4. ratios, elevation
  7. Capital Asset Pricing Model (CAPM)
    1. application
  8. Capitalism, representation
  9. Carter, Bill
  10. CDE. See Coeur d’Alene
  11. CEF Advisors
  12. CEFs. See Closed-end funds
  13. Central Registration Depository (CRD)
    1. complaints, presence/explanation
    2. regulatory record
  14. Centrella, Bob
    1. background
  15. Certified Financial Planner (CFP)
    1. Board, responses
    2. certification/designation
  16. Certified Financial Planner (CFP) Institute
  17. Certified Investment Management Analyst (CIMA)
  18. Certified Public Accountants (CPAs), financial advisor position
  19. Charles Schwab
    1. annuities, sale
  20. Chartered Alternative Investment Analysis (CAIA), AIMA (partnering)
  21. Chartered Financial Analyst (CFA)
    1. certification
    2. Standards of Practice
  22. Chartered Financial Analyst (CFA) Institute
    1. Code of Conduct
    2. Disciplinary Review Committee
    3. Future of Finance initiative
    4. Integrity List
    5. Professional Conduct Program
    6. role
    7. Statement of Investor Rights
  23. Chartered Financial Consultant (ChFC)
  24. Chartered Life Underwriter (CLU)
  25. Charting
  26. Chase Manhattan
  27. Chemical Bank
  28. Christie, Chris
  29. Churning
  30. Cicotte, Greg
  31. Client/advisor conversations, usage
  32. Client outcomes, improvement
  33. Cliquet structures
  34. Closed-end funds (CEFs)
    1. IPO, purchase (avoidance)
    2. IPOs
    3. mysteries
  35. Closed-end mutual funds (CEFs)
    1. IPO price
  36. Coeur d’Alene (CDE)
  37. Commissions. See Annuities
    1. basis
    2. fee charge, comparison
    3. generation (churning)
    4. impact
  38. Commodities Futures Trading Commission (CFTC)
  39. Commodity ETFs, availability
  40. Commodity-linked notes
  41. Compensation, focus
  42. Complexity, impact
  43. Concentration, usage
  44. Conflicts of interest
    1. matches
  45. Compound Annual Growth Rate (CAGR)
  46. Corporate pension funds, bond rate (usage)
  47. Correlation
    1. understanding
  48. Corvex stock, sale
  49. Cost basis, posting
  50. Covered call strategies
  51. CPAs. See Certified Public Accountants
  52. CRD. See Central Registration Depository
  53. Credit default swaps (CDSs)
  54. Credit risk, market perception
  55. Credit Suisse
    1. 15-year Step Up Contingent Callable Yield Note, pricing supplement
    2. Step Up Contingent Callable Yield Notes, issuance
  56. Cross-sell opportunities, exploitation
  57. Cushing Asset Management
  58. Custody firm, identification/online access

D

  1. Death benefit rider
  2. Deferred annuity
  3. Defined contribution plans
  4. De minimis risk
  5. Derivative products, complexity/problems
  6. Developed market sovereign debt, immunity
  7. Dichev, Ilya
  8. Dimon, Jamie
  9. Discount rate
    1. bond yields, usage
    2. reduction
  10. Diversification
    1. achievement
    2. benefits
    3. impact
    4. level
    5. presence
    6. un-portfolio, relationship
    7. usefulness
  11. Dodd-Frank Wall Street Reform and Consumer Protection Act
  12. Double-dipping
  13. Dow Jones Industrial Average (DJIA)
  14. “Dumbest Idea in Finance, The”

E

  1. Early redemption fee, charges
  2. Embedded mutual fund fee
  3. Emotion, impact
  4. Employee Retirement Income Security Act of 1974 (ERISA)
  5. Equities
    1. equity index annuities
    2. equity linked annuity, purchase reasons
    3. funds, maximum sales load (average)
    4. market algorithms
    5. market growth
    6. portfolio diversification
    7. S&P500 benchmark
  6. Equity-linked notes
  7. Equity-trading volumes, proportion (increase)
  8. ETFs. See Exchange-traded funds
  9. ETNs. See Exchange-traded notes
  10. Eurodollar market, creation
  11. EURO STOXX, performance
  12. Exchange-traded funds (ETFs)
    1. commission, payment
    2. ownership, benefit
    3. passive management
    4. principal protection, absence
    5. types
  13. Exchange-traded notes (ETNs)
  14. Exotic options
  15. Expected return, increase
  16. Extended Stock Market ETF (Vanguard), investment decision
  17. External manager, selection

F

  1. Fairfield Greenwich Group (FGC)
  2. Fear, motivation
  3. Federal Deposit Insurance Corporation (FDIC)
    1. insurance
    2. principal protection
  4. Federal Reserve, policies
  5. Fees
    1. annual fees
    2. client acceptance
    3. structure
    4. understanding
    5. underwriting fees
  6. Fidelity
    1. annuities
  7. Fiduciary
    1. advisor, selection
    2. age
    3. asset level
    4. CRD complaints, presence/explanation
    5. custody firm, identification/online access
    6. duty
    7. fee structure
    8. investment process
    9. minimum fee
    10. results, measurement
    11. reviews, availability
    12. rule, application (avoidance)
    13. standard, application
    14. usage, reason
  8. Fiduciary standard
  9. Finance
    1. embedded inefficiencies
    2. expense
    3. future
    4. regulation
    5. size, conflicts of interest
  10. Financial advisors. See also Brokers
    1. advice, impact
    2. compensation, focus
    3. conflicts of interest
    4. cost
    5. designations
    6. employment, understanding
    7. fiduciary duty
    8. financial obligation
    9. impact
    10. interviews, conducting
    11. performance
      1. assessment process
      2. improvement
    12. product investment warnings. involvement
    13. profession, status (discussion)
    14. questions
    15. selection
    16. trading frequency
  11. Financial crisis (2008)
    1. impact
    2. losses
  12. Financial decisions, procrastination
  13. Financial firms, balance sheets (strengthening)
  14. Financial Industry Regulatory Authority (FINRA)
    1. Broker Check, usage
    2. broker-dealer
      1. definition
    3. Investor Alerts
    4. investor alerts
    5. Regulatory Notice
    6. regulatory warning
    7. standards
  15. Financial planner
  16. Financial planning, industry (progress)
  17. Financial priorities
  18. Financial services
    1. client outcomes, improvement
    2. firms, IT services purchase
    3. household/business purchases
    4. impact
    5. regulation, problems
  19. Fixed annuity
    1. investment
  20. Fixed income, problem representation
  21. Fixed-rate annuity
  22. Flash Boys (Lewis)
  23. Foreign Exchange (FX)
    1. losses
    2. trader
  24. Foreign exchange ETFs, availability
  25. Forza Investment Advisory, LLC
    1. opening
  26. 401(k) plans
    1. annuities, placement
    2. maximum, contribution
  27. Frissora, Mark
  28. Funding costs
  29. Future of Finance, The (CFA Institute initiative)
  30. Future pension obligations, present value (calculation)
  31. FX. See Foreign Exchange
  32. FXCM

G

  1. Galvin, William C.
  2. GAO. See United States Government Accountability Office
  3. General Electric (GE), GE Capital spinoff
  4. Goldman Sachs, CD issuance
  5. Gottlieb, Jeffrey
  6. Government bailout, impact
  7. Great Depression, savings bonds (issuance)
  8. Great Recession
  9. Gross Domestic Product (GDP), growth

H

  1. Hammond, Gabriel
  2. Ham sandwich test
  3. Harrison, Bill
  4. Hedge Fund Fraud Casebook, The (Johnson)
  5. Hedge Fund Mirage
    1. AIMA response
    2. industry reaction
    3. managers, response
    4. negative results
    5. update
  6. Hedge Fund Research (HFR)
  7. Hedge funds
    1. absolute return vehicles
    2. accounting rules, problems
    3. asset flows, politics (impact)
    4. business success
    5. CalPERS elimination
    6. capital, excess
    7. comparison, problem
    8. criticism
    9. debate, cessation
    10. Golden Days (pre-2002)
    11. growth, reasons
    12. industry
      1. growth, examination
      2. money inflow
      3. reaction, surprise
    13. investment, problem
    14. investors, diversification (usefulness)
    15. location, cost
    16. losses (2008)
    17. managers
      1. business share, negotiation
      2. reaction
    18. marketing, economics
    19. offering, unregistered securities (usage)
    20. performance, problems
    21. portfolio, correlation (absence)
    22. profits (reduction), fees (impact)
    23. representation
    24. retail investors, savvy
    25. returns
      1. examination
      2. performance, comparison
    26. small size, advantage
    27. unregistered security, example
    28. vindication, sophisticated institutional investor (impact)
  8. Hedging costs
  9. HFR. See Hedge Fund Research
  10. High-frequency trading (HFT)
    1. justification
    2. tax
  11. High-net-worth investors
    1. hedge fund investments
    2. smart money
  12. History of Financial Planning, The (Brandon, Jr./Welch)
  13. Holdings, fictitious list (creation)
  14. Hood, Randolph

I

  1. IAA. See Investment Advisory Agreement
  2. IAFP. See International Association of Financial Planners
  3. IAR. See Investment Advisor Representative
  4. IAs. See Investment advisors
  5. Icahn, Carl
  6. Idiosyncratic risk, excess return (absence)
  7. Illiquidity
    1. premium
  8. Immediate annuity
  9. Income payment, guarantee
  10. Independent Registered Investment Advisor (RIA)
  11. Indexed annuities, returns (examination)
  12. Index funds, holding
  13. Individual Retirement Account (IRA) plans
  14. Individual stocks
  15. Inflation cost, ignoring
  16. Information technology (IT) services, purchase
  17. Initial public offerings (IPOs)
    1. CEF IPO, purchase (avoidance)
    2. problems
  18. Inland American Real Estate Trust, Inc. (IAR)
    1. blind pool
    2. fees
    3. non-traded REIT
    4. ownership
    5. risk factors
    6. securities, sale
  19. Institutional investors, sophistication
  20. Institutions, hedge fund investing
  21. Insurance carrier, product (display)
  22. Insurance companies
    1. credit rating
    2. long-term care policies, restructuring
    3. restructuring
  23. Insurance float
  24. Integrity List. See Chartered Financial Analyst Institute
  25. Interactive Brokers
  26. Interest-rate linked notes
  27. Interest rates
    1. limitation
    2. low levels, problems
  28. Intermediation, failure
  29. International Association of Financial Planners (IAFP)
  30. International funds, allocation level
  31. International stocks
  32. Investing, sex (relationship)
  33. Investment
    1. assistance, reasons
    2. choices, evaluation
    3. companies, proprietary/third-party funds (presence)
    4. complexity
    5. Compound Annual Growth Rate (CAGR), example
    6. decisions, emotion (impact)
    7. fees
    8. funds, hedge fund representation
    9. goals, problems
    10. management
      1. job
    11. money mistakes
    12. opportunities, correlation (absence)
    13. performance, near-term fluctuations (ignoring)
    14. philosophy
    15. plan, absence
    16. process. See Fiduciary.
      1. discipline
    17. results, measurement
    18. short-term results, evaluation
    19. uncorrelated positive return, search
    20. underperformance, level
  34. Investment Advisor Representative (IAR)
  35. Investment Advisors (IAs). See also Registered Investment Advisor
    1. designation
    2. financial advisors, presence
    3. model, fiduciary obligation
  36. Investment Advisors Act of
  37. Investment Advisory Agreement (IAA)
    1. absence
  38. Investment Company Act (1940)
  39. Investment Company Institute (ICI)
  40. Investment Policy Statement (IPS)
    1. absence
  41. Investors
    1. overpayments, tax simplification
    2. payments
    3. portfolio diversification
    4. priority
    5. risk, tolerance
    6. structured notes, relationship
    7. timing
  42. IPOs. See Initial public offerings
  43. IPS. See Investment Policy Statement
  44. Issuing bank, credit quality (impact)

J

  1. Jackson National Life Insurance, variable annuities (tiered pricing)
  2. Jain, Sameer
  3. Jobbers
  4. Johnson, Bruce
  5. Joint annuity
  6. JPMorgan
    1. Optimax Market Neutral Index
    2. pricing supplement

K

  1. K-1 form
  2. Katsuyama, Brad
  3. Kauffman Foundation, investment results
  4. Kennon, Joshua
  5. Knock-in options

L

  1. Layton, Don
  2. Lehman Brothers, bankruptcy
  3. Lewis, Michael
  4. LifeGuard Freedom Flex/Freedom 6 Net contracts
  5. Lifetime income, need (absence)
  6. Life with period certain
  7. Liquidity
  8. Load funds
  9. Load mutual funds
  10. London Interbank Offered Rate (LIBOR)
    1. benchmark, success/usage
    2. scandal
    3. settings
  11. London Stock Exchange
  12. Loomis, Philip
  13. Los Angeles County Employees Retirement Association (LAC-ERA), dilemma
  14. Low-fee ETFs
  15. LPL Financial
  16. Lump-sum payment
  17. Lusardi, Annamaria

M

  1. Macey, Jonathan
  2. MacKay Shields
  3. Macro environment, impact
  4. Madoff, Bernie
    1. strategy, transparency (absence)
  5. Madoff Ponzi scheme
  6. Managed account
    1. fee
    2. investment
  7. Management fee (double-dipping)
  8. Managers, company control
  9. Manufacturers Hanover Trust
  10. Margin, impact
  11. Market capitalization
  12. Market inefficiency
  13. Market maker, information advantage
  14. Market participants, short-term focus
  15. Market risk, nondiversification
  16. Market timing
    1. bets, placement
  17. Markopoulos, Harry
  18. Mass deleveraging, impact
  19. Master Limited Partnerships (MLPs)
    1. investment
    2. midstream MLPs
  20. May Day
    1. impact
  21. McGillicuddy, John
  22. Meister, Keith
  23. Merrill Lynch
  24. Micro-caps, investment
  25. Midstream MLPs
  26. Mitchell, Olivia S.
  27. MLPs. See Master Limited Partnerships
  28. Money
    1. borrowed money, investment reasons
    2. management
    3. mistakes
    4. obtaining, difficulty
  29. Moneyball (Lewis)
  30. Money manager, plan
  31. “Money to Burn,”
  32. Morgan, John Pierpont
  33. Morningstar
    1. Advisor Workstation
    2. mutual fund fee estimations
    3. usage
  34. Mortality expense
  35. Mortgages, FNMA/FHMC subsidies
  36. Mulcahy, Diane
  37. Munger, Charlie
  38. Municipal bonds
    1. disclosure, increase (opposition)
    2. hidden costs
    3. household ownership
    4. mark-ups, problems
    5. transactions costs
    6. volumes, average
  39. Mutual funds
    1. closed-end mutual funds (CEFs)
    2. embedded mutual fund fee
    3. evaluation
    4. fees
    5. holdings
    6. investment approach
    7. load mutual funds
    8. management fees
    9. ownership, benefit

N

  1. National Association of Securities Dealers (NASD)
    1. NYSE regulatory board, merger
    2. stockbroker regulation
  2. National Provincial Bank
  3. Near-term fluctuations, ignoring
  4. Net asset value (NAV)
    1. change, failure
    2. increase
    3. maintenance
  5. New Jersey, pension contributions (reduction)
  6. No-load funds, early redemption fee charge
  7. Non-publicly traded REIT, presence
  8. Non-tradable CDs, holdings
  9. Non-traded registered REITs (unlisted registered REITs)
  10. Non-traded REITs (NTRs)
    1. advice
      1. problem
    2. benchmarking, importance
    3. client acceptance, fee generation
    4. dividend, payment
    5. experience, examination
    6. financial advisors
      1. impact
      2. performance, improvement
    7. holdings
    8. investment
    9. listing, usage (reason)
    10. net asset value (NAV), maintenance
    11. problems
    12. regulators, presence
    13. returns
    14. sale
  11. No One Would Listen (Markopoulos)
  12. Notes, types
  13. NTRs. See Non-traded REITs

O

  1. Obligations, present value
    1. alteration
  2. Off-balance-sheet instruments, usage
  3. 1035 swap
  4. Optimax Market Neutral Index. See JPMorgan
  5. Options
    1. barrier options
    2. knock-in options
  6. Overconcentration, risk (reduction)
  7. Overconfidence
    1. impact
    2. occurrence
  8. Over-the-counter (OTC) derivatives business, knowledge gap

P

  1. Pasi, Dave
  2. Pension obligations
    1. funding
    2. future pension obligations, present value (calculation)
  3. Pensions
    1. funds, appearance
    2. underfunding, politics (impact)
  4. Period certain annuity
  5. Permanent capital
  6. Peterson, Magnus
  7. Philippon, Thomas
  8. Phillips Edison ARC Grocery Center REIT II, Inc.
  9. Piwowar, Michael
  10. Placement fees
  11. Portfolio
    1. comfort/discomfort
    2. construction, problem
    3. diversification
      1. equities, usage
    4. performance, examination
    5. returns
      1. comparison
    6. types
    7. volatility (reduction), structured notes (usage)
  12. Portfolio management
    1. art/science
    2. asset allocation
    3. basics
    4. benchmarking
    5. investment philosophy
    6. techniques
  13. Positive excess return
  14. Prime borrowers, borrowing ease
  15. Principal-Agent problem, confrontation
  16. Principal protection
    1. absence
    2. forms
    3. issuing bank, credit quality (impact)
    4. volatility, reduction (relationship)
  17. Priti, Donald
  18. Products/services
    1. aggregation
    2. complexity
    3. price, fluctuation (absence)
  19. Professionals
    1. hiring
    2. impact
  20. Profits (reduction), fees (impact)
  21. Proprietary funds, presence
  22. Prospectus, legality
  23. Protégé Partners
  24. Prudential Securities
  25. Public company holdings, fictitious list (creation)
  26. Public market volatility
  27. Public pension accounting, impact
  28. Public pension funds, underfunding
  29. Public pension plans
    1. accounting response
    2. accounting methods
  30. Public Sector Worker Test
  31. Public securities, SEC registration
  32. Put-call conversion
  33. Puts

Q

  1. Quotron machine, usage

R

  1. Raymond James
  2. Reagan, Ronald
  3. Real Estate Investment Trust (REIT). See also Non-traded REITs
    1. managers, share (receipt)
    2. performance
  4. Real-money investors
  5. Reassigned accounts, usage
  6. “Reducing Wealth Volatility”
  7. Registered Investment Advisor (RIA)
    1. business
  8. Registered representative (RR)
    1. stockbroker status
  9. Relative returns
  10. Report on the Municipal Securities Market, A (SEC)
  11. Retail investors, savvy
  12. Retail traders, money loss (calculation problems)
  13. Retiree obligations, meeting
  14. Retirement
    1. income stream
    2. life, quality (discussion)
    3. security, trading (impact)
  15. Returns
    1. absolute returns
    2. active management, returns (measurement difficulty)
    3. dilution, excess returns (impact)
    4. evaluation
    5. excess return, absence
    6. expected return, increase
    7. increase, margins (impact)
    8. positive excess return
    9. potential, increase
    10. pressure
    11. reduction
    12. relative returns
    13. risk-adjusted returns, provision
    14. uncorrelated returns
    15. variation
    16. volatility, expectation
  16. Reverse exchangeable notes
    1. fees
    2. supplements
  17. RIA. See Independent Registered Investment Advisor; Registered Investment Advisor
  18. Risk
    1. expense
    2. risk-adjusted returns, provision
    3. tolerance
    4. variation
  19. Ritter, Jay
  20. Rowland, Ron
  21. Royal Bank of Canada
  22. Royal Bank of Scotland
    1. court proceedings
  23. RR. See Registered representative
  24. Russell 2000 returns

S

  1. Savings bonds
    1. issuance (Great Depression)
    2. types
  2. Scott, John Cole
  3. Sectors
  4. Securities and Exchange Commission (SEC)
  5. Securities Industry and Financial Markets Association (SIFMA)
    1. disclosure, increase (opposition)
    2. maturity calculations
  6. Securities Litigation and Consulting Group
  7. Security
    1. analysis
    2. selection
      1. investment process, discipline
  8. Seeking Alpha
  9. Seides, Ted
    1. Buffett bet
  10. Self-regulatory organization (SRO)
  11. Selling concessions
  12. Separately managed accounts (SMAs)
  13. Sex, investing (relationship)
  14. Shipley, Walter
  15. Short-term contracts, Libor (usage)
  16. Short-term market-timing activity, profit (absence)
  17. Short-term trading, profit (absence)
  18. SIFI. See Systemically Important Financial Institution
  19. Silver, commodity
  20. Small-cap stocks, returns
  21. SMAs. See Separately managed accounts
  22. Spitzer, Elliot
  23. SRO. See Self-regulatory organization
  24. Standard deviation, usage
  25. Standard & Poor's 500 (S&P500)
    1. benchmark
    2. Index, annuity participation
    3. performance
      1. comparison
  26. Standard & Poor's (S&P) index
    1. performance
    2. quarterly return data
  27. Statement of Investor Rights (CFA Institute)
  28. Stockbroker. See Registered representative
  29. Stocks
    1. positions, randomness
    2. positive excess return
  30. Stocks/bonds 60/40 portfolio, performance (comparison)
  31. Strategic Realty Trust
    1. true value
  32. Structured notes
    1. arguments
    2. basics
    3. complexity
    4. costs/expense
    5. customization, ability
    6. FINRA regulatory warning
    7. investors, relationship
    8. liquidity
    9. market data
    10. purchase, reasons
    11. regulator scrutiny
    12. sale
    13. suitability
    14. usage
  33. Suitability
    1. standard
  34. Survivor annuity
  35. Survivor benefit, absence
  36. Swank, Jerry
  37. Swedroe, Larry
  38. Swiss National Bank, euro peg (abandonment)
  39. Systemically Important Financial Institution (SIFI)

T

  1. Taxes
    1. high-frequency trading (HFT) tax
    2. impact, ignoring
    3. simplification
  2. Tax Reform Act (1987)
  3. Technical financial knowledge
  4. Technology-driven bear market (2000–2002)
  5. Third-party custodian, absence
  6. Third-party funds, presence
  7. TIAA-CREF, annuities (sale)
  8. Time, investment
  9. Time value of money
  10. Timing
  11. TIPS. See Treasury Inflation-Protected Security
  12. Top-down macroeconomic analysis
  13. Total Stock Market ETF (Vanguard), investment exposure
  14. Trades, winners/losers (determination)
  15. Trading
    1. impact
    2. regulatory structure, problems
  16. Transaction costs
    1. impact
    2. improvement
  17. Treasury Inflation-Protected Security (TIPS)
  18. T. Rowe Price, annuities (sale)
  19. Trustee Leadership Forum
  20. 12-B1 fees

U

  1. UBS, claims (settling)
  2. Uncorrelated returns
  3. Underwriting fees
  4. United States economic output, financial services (impact)
  5. United States Government Accountability Office (GAO)
  6. United States Treasury bills, usage
  7. University of Zurich, coin toss experiment
  8. Un-portfolio
    1. background
    2. black-box models
    3. diversification
      1. presence
      2. relationship
    4. examples
    5. fees
  9. Unregistered security
    1. example
    2. usage

V

  1. Vanguard
    1. annuities, sale
    2. Bogle story
    3. Extended Stock Market ETF, investment decision
    4. REIT Index Fund
    5. Total Stock Market ETF, investment exposure
  2. Variable annuities
    1. account values
    2. flexibility, absence
    3. investment options
    4. investment risks
    5. returns
      1. evaluation
      2. guarantees
    6. riders
    7. risks
    8. sale, problem
  3. “Venture Capital Mirage”
  4. Volatility, reduction
    1. principal protection, relationship
  5. Volcker, Paul

W

  1. Wall Street
    1. bankers, actions
    2. complexity, impact
    3. finance, expense
    4. inefficiency
    5. municipal bonds, hidden costs
    6. retirement (security), trading (impact)
    7. sex, investing (relationship)
    8. time, investment
  2. Wal-Mart, IT systems usage
  3. Weavering Capital, losses (hiding)
  4. Weighting
  5. Weisenberger, Arthur
  6. Wheeler, Dennis
  7. White, Mary Jo
  8. Wirehouses, change (resistance)

Y

  1. Yield
    1. investor payments
    2. misunderstanding

Z

  1. Zero coupon bond
  2. Zweig, Jason
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