CSI CSC1 actual dump : Canadian Securities Course Exam 1

CSC1
  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Updated: Oct 04, 2026
  • Q & A: 100 Questions and Answers

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CSI CSC1 Exam Syllabus Topics:

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

CSI Canadian Securities Course Exam 1 Sample Questions:

Question #1

Which group is generally considered aprimary derivative dealer in the over-the-counter markets?

  • A. Chartered banks.
  • B. insurance companies.
  • C. Commodity exporters.
  • D. Professional individual investors.
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #2

Which activity performed bythe Bank of Canada reflects role as the fiscal agent for the federal government?

  • A. Providing advice on debt Issuances based on its assessment of the capital markets.
  • B. Working with domestic and international regulatory bodies
  • C. Designing and distributing bank notes.
  • D. Preserving the value of the Canadian dollar by keeping inflation low
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Correct Answer: A  🗳️

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Question #3

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. Rate-reset preferred share.
  • D. Floating-rate preferred share.
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Correct Answer: C  🗳️

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Question #4

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. $53
  • B. $63
  • C. $55
  • D. $57
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #5

What is unique to a shortmargin position?

  • A. Margin is discretional for securities with certain price ranges.
  • B. There is a timelimit that a short position may be maintained.
  • C. Short seller can suffer unlimited loss if the price of the security rises rather than fails.
  • D. Margin is established when the dealer memberloansmoney to the client.
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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