Canadian Securities Course Exam 1: CSC1 Exam


"Canadian Securities Course Exam 1", also known as CSC1 exam, is a CSI Certification. With the complete collection of questions and answers, PrepAwayPDF has assembled to take you through 100 Q&As to your CSC1 Exam preparation. In the CSC1 exam resources, you will cover every field and category in Canadian Securities Course Certification helping to ready you for your successful CSI Certification.

  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Total Questions: 100

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CSI CSC1 Exam Syllabus Topics:

SectionWeightObjectives
The Economy13%- Impact of economic factors on investments
- Macroeconomic principles and indicators
- Monetary and fiscal policy
Common and Preferred Shares13%- Equity features and rights
- Dividends and corporate actions
- Valuation and classification
Equity Transactions10%- Trading mechanics and regulations
- Margin and short selling
- Order types and execution
Regulation and Ethics8%- Client suitability and disclosure
- Industry regulations and compliance
- Code of conduct and ethical standards
Derivatives10%- Options, futures and forwards
- Uses, risks and basic strategies
Financing and Listing Securities7%- Primary market and issuance process
- Listing requirements and rules
The Canadian Investment Marketplace16%- Regulators and self-regulatory organizations
- Structure of Canadian financial system
- Market participants and roles
Pricing and Trading of Fixed-Income Securities11%- Trading and settlement processes
- Price-yield relationship
- Valuation and pricing methods
Features and Types of Fixed-Income Securities12%- Types of fixed-income instruments
- Characteristics, risks and benefits
- Government and corporate bonds

CSI Canadian Securities Course Exam 1 Sample Questions:

Anwar is placing a market order to purchase 100 shares of AJLwhen the bid/ask is $10.25."$ 10.75. Before the trade is complete, the bid/ask moves to $10.207S1Q70. Whatis the share pricethat Anwar will pay on the purchase transaction?

  • A. $10.70
  • B. $10.29
  • C. $10.20
  • D. $10.75
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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The Bank of Canada uses anoperating band to help manage the oversight rate. Howwide is the operating Band?

  • A. 25 basis points
  • B. 50 basis points
  • C. 100 basis points.
  • D. 75 basis points
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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What bestdescribes the liability of limited partners in a limited partnership?

  • A. They are liable only to the extent of the daily business activities they participate in.
  • B. Their liability is limited to their investment
  • C. They are not liable for debts and losses incurred in business operations.
  • D. Their liability includes personal assets.
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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An investor feels unfairly treatedby a stockbroker regarding a setof transactions. After a discussion of the situation Between the investor and the member, the investor and the member, the investor is still dissatisfied.
What is the best requestthat the investor could make to seek compensation?

  • A. A payment from the Canadian investor Protection Fund.
  • B. An investigation by the Ombudsman for Banking Service and investments.
  • C. A rescission of the objectionable trades.
  • D. An Independent arbitration.
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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On what is the dividend rate for rate-reset preferred shares based?

  • A. The three-month Government of Canada Treasury bill yield plus a spread
  • B. The Dank at Canada's overnight rate plus a spread
  • C. The five-year Government of Canada bond yield plus a spread
  • D. The preferred share issuer's senior bonds plus a spread
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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