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CSI CSC1 Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: The Economy13%- Macroeconomic principles and indicators
- Monetary and fiscal policy
- Impact of economic factors on investments
Topic 2: Financing and Listing Securities7%- Primary market and issuance process
- Listing requirements and rules
Topic 3: Pricing and Trading of Fixed-Income Securities11%- Price-yield relationship
- Trading and settlement processes
- Valuation and pricing methods
Topic 4: Regulation and Ethics8%- Industry regulations and compliance
- Code of conduct and ethical standards
- Client suitability and disclosure
Topic 5: Derivatives10%- Uses, risks and basic strategies
- Options, futures and forwards
Topic 6: The Canadian Investment Marketplace16%- Market participants and roles
- Structure of Canadian financial system
- Regulators and self-regulatory organizations
Topic 7: Features and Types of Fixed-Income Securities12%- Characteristics, risks and benefits
- Types of fixed-income instruments
- Government and corporate bonds
Topic 8: Common and Preferred Shares13%- Equity features and rights
- Dividends and corporate actions
- Valuation and classification
Topic 9: Equity Transactions10%- Order types and execution
- Margin and short selling
- Trading mechanics and regulations

CSI Canadian Securities Course Exam 1 Sample Questions:

Why wouldacorporation choose to issue preferred shares rather than debt?

  • A. issuing preferred shares would reduce the amount of leverage.
  • B. The costs for issuing preferred shares are usually kwh than debt.
  • C. The preferred dividend rate usually varies with the market interest rates
  • D. Existing assets have excess financing capacity to justify the issue of preferred shares.
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Who in a sell-side firm is responsible for structuring new debt issues and bringing them to the primary market?

  • A. Portfolio manager
  • B. Investment banker
  • C. Trader
  • D. Sales representative
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Which exchange trades all financial andequity futures and options listed for trading in Canada?

  • A. Toronto Stock Exchange
  • B. Canadian Securities Exchange
  • C. ICE NGX Canada
  • D. Montreal Exchange
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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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. Fixed-rate perpetual preferred share.
  • B. Rate-reset preferred share.
  • C. Floating-rate preferred share.
  • D. Flexed/floating preferred share.
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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What is the normal shape of a yield curve?

  • A. Humped
  • B. Downward slope
  • C. inverted
  • D. Upward slops
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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