- Exam Code: CSC1
- Exam Name: Canadian Securities Course Exam 1
- Updated: Oct 04, 2026
- Q & A: 100 Questions and Answers
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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Common and Preferred Shares | 13% | - Equity Securities
|
| Topic 2: Features and Types of Fixed-Income Securities | 12% | - Fixed-Income Instruments
|
| Topic 3: Pricing and Trading of Fixed-Income Securities | 11% | - Bond Markets
|
| Topic 4: The Canadian Investment Marketplace | 15% | - Canadian Regulatory Environment
|
| Topic 5: Financing and Listing Securities | 8% | - Security Issuance
|
| Topic 6: Equity Transactions | 10% | - Trading Equities
|
| Topic 7: Corporations and their Financial Statements | 8% | - Financial Statement Analysis
|
| Topic 8: Derivatives | 10% | - Derivative Instruments
|
| Topic 9: The Economy | 13% | - Macroeconomic Fundamentals
|
Which group is generally considered aprimary derivative dealer in the over-the-counter markets?
Correct Answer: A 🗳️
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Which activity performed bythe Bank of Canada reflects role as the fiscal agent for the federal government?
Correct Answer: A 🗳️
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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?
Correct Answer: C 🗳️
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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?
Correct Answer: A 🗳️
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What is unique to a shortmargin position?
Correct Answer: C 🗳️
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