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  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Updated: Aug 20, 2026
  • Q & A: 100 Questions and Answers
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  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Updated: Aug 20, 2026
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  • Exam Code: CSC1
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CSI CSC1 Exam Syllabus Topics:

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

CSI Canadian Securities Course Exam 1 Sample Questions:

1. The consumerprice index was 125.9 in Decemberoflast year and 123.0 in December ofthe year before What was the inflation rate last year?

A) 2.30%
B) 0.98%
C) 1.02%
D) 2.36%


2. What bond should an advisorrecommend to someone who wants to hold bonds and maximize potential cap-tai gams when interest rates are expected to fall?

A) A short-term bond with a low coupon.
B) A long-term bond with a low coupon.
C) A short-term bond with a high coupon.
D) A long-term bond with a high coupon.


3. What is the settlement date for Government of Canada bones?

A) Two business days after the transaction
B) Three business days after the transaction.
C) same day me transaction takes place.
D) One business day after the transaction


4. What is the role thatthe dealer memberis taking when a client's order for an unlisted security is filled directly from inventory rather than on the exchange?

A) Principal
B) Clearing agent
C) Over-the-counter agent
D) Alternative trading system


5. What action must an investment advisor take when submitting a trade ticket for a short sale?

A) Obtain minimum margin amount from client
B) Mark the sell-order ticket as a short sate
C) Verify the client canborrow the shares.
D) Mark it as a margin order


Solutions:

Question # 1
Answer: D
Question # 2
Answer: B
Question # 3
Answer: D
Question # 4
Answer: A
Question # 5
Answer: B

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