- 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 |
|---|---|---|
| Topic 1: The Economy | 13% | - Monetary and fiscal policy - Macroeconomic principles and indicators - Impact of economic factors on investments |
| Topic 2: Derivatives | 10% | - Uses, risks and basic strategies - Options, futures and forwards |
| Topic 3: Common and Preferred Shares | 13% | - Equity features and rights - Dividends and corporate actions - Valuation and classification |
| Topic 4: Financing and Listing Securities | 7% | - Listing requirements and rules - Primary market and issuance process |
| Topic 5: Equity Transactions | 10% | - Trading mechanics and regulations - Margin and short selling - Order types and execution |
| Topic 6: Features and Types of Fixed-Income Securities | 12% | - Types of fixed-income instruments - Characteristics, risks and benefits - Government and corporate bonds |
| Topic 7: The Canadian Investment Marketplace | 16% | - Structure of Canadian financial system - Regulators and self-regulatory organizations - Market participants and roles |
| Topic 8: Pricing and Trading of Fixed-Income Securities | 11% | - Valuation and pricing methods - Trading and settlement processes - Price-yield relationship |
| Topic 9: Regulation and Ethics | 8% | - Client suitability and disclosure - Code of conduct and ethical standards - Industry regulations and compliance |
CSI Canadian Securities Course Exam 1 Sample Questions:
What is a company likely trying -c achieve when ituses a stock spit as part of itscorporate strategy?
- A. Decrease the share price
- B. increase the share price
- C. Fewer outstanding shares
- D. Prevent delisting from a stock exchange
Correct Answer: A 🗳️
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What bond should an advisorrecommend to someone who wants to hold bonds and maximize potential cap-tai gams when interest rates are expected to fall?
- A. A long-term bond with a low coupon.
- B. A short-term bond with a high coupon.
- C. A short-term bond with a low coupon.
- D. A long-term bond with a high coupon.
Correct Answer: A 🗳️
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Which activity performed bythe Bank of Canada reflects role as the fiscal agent for the federal government?
- A. Preserving the value of the Canadian dollar by keeping inflation low
- B. Providing advice on debt Issuances based on its assessment of the capital markets.
- C. Designing and distributing bank notes.
- D. Working with domestic and international regulatory bodies
Correct Answer: B 🗳️
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Keith has a $150,000 term deposit with ABC Trust Company and a $75.000 term depositwithXYZ Trust Company. Both term deposits nave a maturity date of four years and both trust companies are member institutions of the CDIC. How much is Keith cowered for under COIC if both trust companies become insolvent?
- A. $100,000.
- B. $225,000
- C. $175,000
- D. $200,000
Correct Answer: D 🗳️
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What tern describes the requirementof registrants to collectextensive personal and financial Information from individuals before making an investment recommendation?
- A. Gatekeeper obligations.
- B. Know Your Client rule.
- C. Suitability rule
- D. Fiduciary duty
Correct Answer: B 🗳️
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