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CSI CSC1 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: The Economy | 13% | - Macroeconomic Fundamentals
|
| Topic 2: Derivatives | 10% | - Derivative Instruments
|
| Topic 3: Equity Transactions | 10% | - Trading Equities
|
| Topic 4: Financing and Listing Securities | 8% | - Security Issuance
|
| Topic 5: Common and Preferred Shares | 13% | - Equity Securities
|
| Topic 6: Pricing and Trading of Fixed-Income Securities | 11% | - Bond Markets
|
| Topic 7: The Canadian Investment Marketplace | 15% | - Canadian Regulatory Environment
|
| Topic 8: Corporations and their Financial Statements | 8% | - Financial Statement Analysis
|
| Topic 9: Features and Types of Fixed-Income Securities | 12% | - Fixed-Income Instruments
|
CSI Canadian Securities Course Exam 1 Sample Questions:
Question #1
Which regulatory body is responsible for thesurveillanceof trading and market-related activities of participants on Canadian equity marketplaces?
A. OBSI
B. CIRO
C. CSA
D. OSFI
Question #2
Which activity performed bythe Bank of Canada reflects role as the fiscal agent for the federal government?
A. Designing and distributing bank notes.
B. Providing advice on debt Issuances based on its assessment of the capital markets.
C. Preserving the value of the Canadian dollar by keeping inflation low
D. Working with domestic and international regulatory bodies
Question #3
An investor has earned additional Income and is looking to invest in a security that guarantees returns over.
The next seven years. What is the Best option for purchase?
A. Provincial saving bond
B. Exchange-traded fund.
C. Common shares
D. Proffered shares
Question #4
The principleof retraction in retractable preferredshares is identical to what other security?
A. Retractable common shares
B. Redeemable preferred shares.
C. Callable preferred shares.
D. Retractable bonds and debentures
Question #5
What is theImpact from a security price increase on the investorholding a long margin position?
A. The Investor must provide additional funds to cover the price difference
B. The investor must immediately pay interest on the excess margin amount
C. The investor will incur a loss equivalent lo the difference be-ween the purchase and sale price.
D. The investor has access to additional funds from the account available for withdrawal.
Solutions:
| Question #1 Correct Answer: B | Question #2 Correct Answer: B | Question #3 Correct Answer: A | Question #4 Correct Answer: D | Question #5 Correct Answer: D |


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