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CSI CSC1 Exam Syllabus Topics:

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

  • A. The service is exclusively provided to intermediaries such as advisors and employers
  • B. A telephone call with an advisor verifies that the computer-generatedportfolio is suitable for the client.
  • C. Portfolios are built primarily with individual stocks andbonds.
  • D. The portfoliosare rarely rebalanced
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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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 short-term bond with a low coupon.
  • B. A short-term bond with a high coupon.
  • C. A long-term bond with a high coupon.
  • D. A long-term bond with a low coupon.
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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What is the impact of a stock split on the number of shares held by the shareholders and theirprice?

  • A. The number of shares Increases and theshare price Increases.
  • B. The number of shares increases and the share price decreases.
  • C. The number of shares decreases and the share price eases
  • D. The number of shares decreases and the share price decreases.
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Which type of bond allows the issuer to redeem at a specified premium prior to maturity?

  • A. Convertible
  • B. Callable
  • C. Retractable
  • D. Extendible
  • E. Acronyms
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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When sharesof GHI Inc. (GHI) traded at S50. aninvestor wrote five "GHI December 45" puts for a premium of $1,20. How much cash must the investor have in their account to be a cash-secured out writer?

  • A. $24,400
  • B. $25, 000
  • C. $21,900
  • D. $22,500
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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