• 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
Topic 1: The Economy13%- Monetary and fiscal policy
- Macroeconomic principles and indicators
- Impact of economic factors on investments
Topic 2: Derivatives10%- Uses, risks and basic strategies
- Options, futures and forwards
Topic 3: Common and Preferred Shares13%- Equity features and rights
- Dividends and corporate actions
- Valuation and classification
Topic 4: Financing and Listing Securities7%- Listing requirements and rules
- Primary market and issuance process
Topic 5: Equity Transactions10%- Trading mechanics and regulations
- Margin and short selling
- Order types and execution
Topic 6: Features and Types of Fixed-Income Securities12%- Types of fixed-income instruments
- Characteristics, risks and benefits
- Government and corporate bonds
Topic 7: The Canadian Investment Marketplace16%- Structure of Canadian financial system
- Regulators and self-regulatory organizations
- Market participants and roles
Topic 8: Pricing and Trading of Fixed-Income Securities11%- Valuation and pricing methods
- Trading and settlement processes
- Price-yield relationship
Topic 9: Regulation and Ethics8%- 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
Reveal Solution  Discussion  0

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.
Reveal Solution  Discussion  0

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
Reveal Solution  Discussion  0

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
Reveal Solution  Discussion  0

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
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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