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CSI CSC1 Exam Syllabus Topics:

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

CSI Canadian Securities Course Exam 1 Sample Questions:

What is the best long-term strategy for themunicipality to improve Us credit rating?

  • A. Negotiate a deal with me provincialgovernment to back up its securities.
  • B. Build a strong, exclusive industry with little competition in the region.
  • C. increase cash flow through higher business taxes toimprove debt repayment ability.
  • D. Attract new investments from various industries to increase tax revenue.
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Correct Answer: D  🗳️

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What is the difference between sinking funds and purchase funds concerning the redemption of bonds poor to maturity?

  • A. Sinking funds involve the issuer determining when bonds are redeemed while purchase funds Involve the investor determining when the bonds are redeemed.
  • B. Sinking funds can redeem bonds only if they trade below a stipulated price while purchase runes do not have such a requirement.
  • C. Sinking funds can redeem fie bones any time while purchase funds follow a prearranged schedule.
  • D. Sinking funds have mandated redemptions while purchase funds can redeem only upon certain market conditions.
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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On what basis are government securities awarded atthe auction average yield?

  • A. Dealer market system
  • B. Schedule III banks
  • C. Open market
  • D. Non-competitive lender.
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Correct Answer: D  🗳️

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What Is the requirementestablished by the Canadian Radio-television and Telecommunications Commission that applies to an advisor who is cold calling potential new clients?

  • A. An advisor must advise DNCL registrants within the first minute that it is a sales call
  • B. An advisor must make sales calls only during regular business hours
  • C. An advisor must not can any person who has been a DNCL registrant for more than one day
  • D. An advisor must subscribe to the National Do Not car List (DNCL)
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Correct Answer: D  🗳️

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What is a Key assumption ofthe expectations theory?

  • A. Investors prefer short-term bonds because they are more liquid and less volatile in price
  • B. The yield curve represents me supply ofand demand tot bones of various terms, which ace primarily influenced by the bigger payers In each sector
  • C. investors buying a single long-term bond should be earning the same amount of interest as they would by buying two short-term bonds of equal combined duration.
  • D. Current short-term interest rates foreshadow future long-term rales.
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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