• 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:

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