CSI CSC1 Q&A - in .pdf

  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Updated: Sep 22, 2026
  • Q & A: 100 Questions and Answers
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CSI CSC1 Q&A - Testing Engine

  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Updated: Sep 22, 2026
  • Q & A: 100 Questions and Answers
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CSI CSC1 Exam Syllabus Topics:

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

CSI Canadian Securities Course Exam 1 Sample Questions:

Question #1

Which type of bond allows the issuer to redeem at a specified premium prior to maturity?

  • A. Callable
  • B. Acronyms
  • C. Extendible
  • D. Retractable
  • E. Convertible
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #2

A bond with a duration of five is currently priced at $103. If Interestrates rise by 2%. approximately what win be me bond's price?

  • A. $113.30
  • B. $92.70
  • C. $97.85
  • D. $108.15
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #3

What is a common use of bond Indexes in the securities industry?

  • A. Construction of bond index funds.
  • B. As a common investment tor direct purchase
  • C. Provide liquidity for debt issuers.
  • D. Assess credit risk of individual bonds
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #4

What is the likely outcome attheend of a five-year term of a rate-reset preferred share if the issuer does not redeem the shares?

  • A. The shareholder exchanges the rate-reset preferredshare for an unsecured bond
  • B. The shareholder exchanges the rate-reset preferredshare for a specified number ofcommon shares.
  • C. The shareholder exchanges the rate-reset preferred share for afloating-rate preferred share
  • D. The shareholder exchanges the rate-reset preferred share for a fixed-rate preferred share.
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #5

Diana was appointed a senior vice president of the ABC inc. She is also a member of the board of XYZ Company where ABC inc, is a % stockholder. What best describes Diana's insider reporting obligations to the regulator?

  • A. Report her trading activity involving XYZ Company stock only.
  • B. Report her trading activity Involving ABC Inc. stock only.
  • C. Report her trading activity Involving both ABC inc. and XYZ Company stock.
  • D. Report her trading activity involving ABC Inc. stock and Issue a press re-case reporting tne holdings in XYZ Company.
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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