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CSI Canadian Securities Course CSC1

CSC1

Exam Code: CSC1

Exam Name: Canadian Securities Course Exam 1

Updated: Sep 28, 2026

Q & A: 100 Questions and Answers

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CSI CSC1 Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: The Economy13%- Macroeconomic Fundamentals
  • 1. Monetary Policy
  • 2. Economic Cycles
  • 3. Inflation
  • 4. Fiscal Policy
Topic 2: Derivatives10%- Derivative Instruments
  • 1. Hedging Strategies
  • 2. Options
  • 3. Futures
Topic 3: Equity Transactions10%- Trading Equities
  • 1. Margin Trading
  • 2. Settlement Procedures
  • 3. Order Types
Topic 4: Financing and Listing Securities8%- Security Issuance
  • 1. Public Offerings
  • 2. Private Placements
  • 3. Listing Requirements
Topic 5: Common and Preferred Shares13%- Equity Securities
  • 1. Common Shares
  • 2. Shareholder Rights
  • 3. Preferred Shares
Topic 6: Pricing and Trading of Fixed-Income Securities11%- Bond Markets
  • 1. Bond Pricing
  • 2. Trading Practices
  • 3. Yield Calculations
Topic 7: The Canadian Investment Marketplace15%- Canadian Regulatory Environment
  • 1. Regulators
  • 2. Regulation and Supervision
  • 3. Ethics
- Capital Markets
  • 1. Capital
  • 2. Markets
  • 3. Products
- Canadian Securities Industry
  • 1. Overview of the Industry
  • 2. Other Financial Intermediaries
  • 3. Investment Dealer's Role as a Financial Intermediary
  • 4. Trends in the Market
Topic 8: Corporations and their Financial Statements8%- Financial Statement Analysis
  • 1. Balance Sheet
  • 2. Cash Flow Statement
  • 3. Income Statement
Topic 9: Features and Types of Fixed-Income Securities12%- Fixed-Income Instruments
  • 1. Yield and Risk
  • 2. Corporate Bonds
  • 3. Government Bonds

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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