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CSI CSC1 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Derivatives | 10% | - Uses, risks and basic strategies - Options, futures and forwards |
| Topic 2: Financing and Listing Securities | 7% | - Listing requirements and rules - Primary market and issuance process |
| Topic 3: Features and Types of Fixed-Income Securities | 12% | - Government and corporate bonds - Types of fixed-income instruments - Characteristics, risks and benefits |
| Topic 4: The Canadian Investment Marketplace | 16% | - Structure of Canadian financial system - Regulators and self-regulatory organizations - Market participants and roles |
| Topic 5: Regulation and Ethics | 8% | - Industry regulations and compliance - Client suitability and disclosure - Code of conduct and ethical standards |
| Topic 6: Common and Preferred Shares | 13% | - Dividends and corporate actions - Equity features and rights - Valuation and classification |
| Topic 7: Equity Transactions | 10% | - Order types and execution - Margin and short selling - Trading mechanics and regulations |
| Topic 8: The Economy | 13% | - Monetary and fiscal policy - Impact of economic factors on investments - Macroeconomic principles and indicators |
| Topic 9: Pricing and Trading of Fixed-Income Securities | 11% | - Valuation and pricing methods - Trading and settlement processes - Price-yield relationship |
CSI Canadian Securities Course Exam 1 Sample Questions:
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 subscribe to the National Do Not car List (DNCL)
- D. An advisor must not can any person who has been a DNCL registrant for more than one day
Correct Answer: C 🗳️
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Based on market capitalization. which sector of the SSP.'TSX Composite index has one of the highest weightings withinthe index?
- A. Health care
- B. Energy
- C. Utilities
- D. Information technology
Correct Answer: B 🗳️
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TDF Dealer's liability desk purchases 5,000 shares of a stock with a market order at $15 bid, $15.20 ask. The desk later sells the shares with a market order at $15.25 bid, $15.40 ask. What is TDP Dealer's gain on the trades?
- A. $1, 000.
- B. $250.
- C. $1,250
- D. $2,000.
Correct Answer: A 🗳️
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Whatis typically a key tax attribute of dividends?
- A. Stock dividends are treated differently than regular cash dividends for tax purposes.
- B. Reinvested dividends arenon-taxable to the shareholders.
- C. Dividends from preferred shares are ineligible tot dividend tax credit.
- D. Dividend income istaxed more preferentiallythan interest income.
Correct Answer: D 🗳️
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How do high interest rates affect the economy?
- A. They increase prices
- B. They reduce business investment.
- C. They decrease the value of the Canadian dollar.
- D. They accelerate debt pay offs
Correct Answer: B 🗳️
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