Financial CME #3: Test Your Knowledge

September 19th, 2018
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This is the third of a recurring series of quizzes to test your knowledge on physician personal finance and investing topics. Some people learn best by reading textbooks. Others like listening to lectures in a course format. This series of quizzes is designed for the physician or other high-income professional who learns best by doing questions.

Each quiz will have ten or so questions. To see the answer, click the “Show Answer” button under each question.

No actual CME can be earned with these quizzes, but hopefully you’ll learn something by answering the questions and reading the explanations. Good luck!

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The correct answer is D. Short-term capital gains (defined as holding the investment for less than 1 year) is taxed as ordinary income. For an investor making $300,000, the long-term federal capital gains tax would be 15%.

Related Post: Pick Your Taxable Account Allocation Wisely

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The correct answer is A. Investment returns are maximized when the money is invested all at once (lump sum) rather than in periodic payments over time (dollar cost averaging). This is because the long-term trend of the stock market is up, and expected return is directly proportional to the amount of time the money is invested.

Related Post: Dollar Cost Averaging vs Lump Sum Investing

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The correct answer is B. The definition of small-cap, mid-cap, and large-cap stocks is based on the size of the company. While there are no precise, widely-accepted cutpoints for these groups, small-cap stocks generally have a market capitalization between $300 million and $2 billion. A $5 million dollar company would generally be considered a micro-cap stock, not a small-cap stock.

Related Post: Forum Mailbag: Target Date Funds, Best Fidelity Small-Cap Fund, 529 For K-12 Expenses, And More!

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The correct answer is A. There are many ways to classify stocks as value and growth stocks. The Fama-French Model, which identified value stocks as a possible predictor of higher than market returns, classified value stocks as those with a low price/book ratio. Another definition of value stocks would be a low price/earnings ratio. While poor recent price performance may be correlated with these factors, poor recent performance by itself does not typically define a value stock.

Related Post: IShares Russell Top 200 Growth ETF (IWY): Should You Tilt To Large-Cap Growth?

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The correct answer is A. Companies can promise to pay any interest rate, but there is always a chance that they will not meet that promise, lowering your returns. The higher the risk of default, the higher the yield they will need to offer (but may not actually pay).

Related Post: A 15% Yield Does Not Equal A 15% Return: A Cautionary Note About High-Yield Bonds and Peer-To-Peer Loans

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The correct answer is A. The turnover rate of a typical Vanguard stock market index fund is less than 5%. Because there is no active stock picking in index funds, these funds don’t need to buy and sell very often. 50% and 100% would be typical turnover rates for actively-managed stock mutual funds.

Related Post: American Funds vs. Vanguard: Active vs. Passive Investing

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The correct answer is B. Vanguard’s total stock market index fund (VTSAX) has very low fees – only $4 per $10,000 invested.

Related Post: Building a Vanguard Three-Fund Portfolio (Or Other Simple Index Fund Portfolios)

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The correct answer is B. Ordinarily, the income limit to contribute to a Roth IRA is $199,000 MAGI for married taxpayers in 2018. However, physicians and other high-income professionals who make more than this can contribute to Roth IRAs through the so-called backdoor Roth IRA. This involves making a non-deductible contribution to a traditional IRA and converting it to a Roth IRA.

Related Post: It’s Official: Backdoor Roth IRAs Are Legal

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The correct answer is C. The maximum annual contribution to an employer 401(k) in 2018 is $18,500. $5,500 is the maximum annual contribution to a Roth IRA. $6,900 is the maximum annual contribution to an HSA.

Related Post: How Valuable is a 401(k)?

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The correct answer is C. Because the interest on this bond is compounded on an annual basis, the total return on your investment after 2 years is (105%) x (105%) = 110.25% or a 10.25% return.

Related Post: Do Not Be Fearful Of The Fed Rate Hikes, Keep Your Bonds

What do you think? How’d you do on the quiz?

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