- Exam Code: CSC1
- Exam Name: Canadian Securities Course Exam 1
- Certification Provider: CSI
- Corresponding Certification:Canadian Securities Course
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CSI CSC1 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| The Economy | 13% | - Impact of economic factors on investments - Macroeconomic principles and indicators - Monetary and fiscal policy |
| Financing and Listing Securities | 7% | - Primary market and issuance process - Listing requirements and rules |
| Features and Types of Fixed-Income Securities | 12% | - Characteristics, risks and benefits - Types of fixed-income instruments - Government and corporate bonds |
| Regulation and Ethics | 8% | - Code of conduct and ethical standards - Client suitability and disclosure - Industry regulations and compliance |
| The Canadian Investment Marketplace | 16% | - Regulators and self-regulatory organizations - Structure of Canadian financial system - Market participants and roles |
| Equity Transactions | 10% | - Margin and short selling - Trading mechanics and regulations - Order types and execution |
| Common and Preferred Shares | 13% | - Dividends and corporate actions - Valuation and classification - Equity features and rights |
| Derivatives | 10% | - Options, futures and forwards - Uses, risks and basic strategies |
| Pricing and Trading of Fixed-Income Securities | 11% | - Valuation and pricing methods - Price-yield relationship - Trading and settlement processes |
CSI Canadian Securities Course Exam 1 Sample Questions:
1. What is a company likely trying -c achieve when ituses a stock spit as part of itscorporate strategy?
A) increase the share price
B) Fewer outstanding shares
C) Decrease the share price
D) Prevent delisting from a stock exchange
2. Whataction is anexchange likely to take when the publicdistribution of a given securityhas dwindled to anunacceptablylow level?
A) Hall in trading.
B) Suspension in trading
C) Delisting
D) Delayed opening
3. Which type of bond allows the issuer to redeem at a specified premium prior to maturity?
A) Acronyms
B) Extendible
C) Retractable
D) Callable
E) Convertible
4. Which trend affecting the financialservices industry has resulted inthe significant use ETFs?
A) The shift towardsdefined contribution plans
B) The emergence of cryptocurrency
C) The rise of financialtechnology companies
D) The popularity of robo-advisors
5. Assume the Government of Canada issues new fixed-incomesecurities with an original term to maturity sixmonthsthat does not pay interest, which type of fixed-income securities were issued?
A) Guaranteed bonds
B) Commercial paper
C) Term deposits
D) Treasury bills
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: C | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: D |
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