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CSI CSC1 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Common and Preferred Shares | 13% | - Equity Securities
|
| Features and Types of Fixed-Income Securities | 12% | - Fixed-Income Instruments
|
| Corporations and their Financial Statements | 8% | - Financial Statement Analysis
|
| Derivatives | 10% | - Derivative Instruments
|
| Pricing and Trading of Fixed-Income Securities | 11% | - Bond Markets
|
| Equity Transactions | 10% | - Trading Equities
|
| Financing and Listing Securities | 8% | - Security Issuance
|
| The Canadian Investment Marketplace | 15% | - Canadian Securities Industry
|
| The Economy | 13% | - Macroeconomic Fundamentals
|
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 |







