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CSI CSC1 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Canadian Financial Markets and Economic Environment | - Structure of capital markets and financial system
|
| Fixed Income Securities | - Debt instruments
|
| Equity Securities | - Common and preferred shares
|
CSI Canadian Securities Course Exam 1 Sample Questions:
An investor feels unfairly treatedby a stockbroker regarding a setof transactions. After a discussion of the situation Between the investor and the member, the investor and the member, the investor is still dissatisfied.
What is the best requestthat the investor could make to seek compensation?
- A. A payment from the Canadian investor Protection Fund.
- B. An Independent arbitration.
- C. A rescission of the objectionable trades.
- D. An investigation by the Ombudsman for Banking Service and investments.
Correct Answer: B 🗳️
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ABT Ltd. is currently trading at $65. An investor buys five ABT July 55 put options for $2each. Ignoring commissions, what price must ABT Ltd. common shares trade at for theinvestor to break even on her put options?
- A. $57
- B. $53
- C. $63
- D. $55
Correct Answer: B 🗳️
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What is one at the advantages for the company when shares are publicly listed?
- A. Additional disclosure.
- B. Shareholders goodwill
- C. Need to keep market participants informed.
- D. Additional controls on management
Correct Answer: B 🗳️
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Which preferredshare pays a fixed dividend rate based on the yield to maturity on the five-year benchmark Government at Canada bond?
- A. Flexed/floating preferred share.
- B. Fixed-rate perpetual preferred share.
- C. Floating-rate preferred share.
- D. Rate-reset preferred share.
Correct Answer: D 🗳️
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What actions can a government take to lower a $40billionnational deficit?
- A. Increase taxation
- B. Increase government spending.
- C. Increase interest rates.
- D. Decrease taxation
Correct Answer: A 🗳️
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