CSI Canadian Securities Course Exam 1 : CSC1

  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Updated: Sep 12, 2026
  • Q & A: 100 Questions and Answers

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CSI CSC1 Exam Syllabus Topics:

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

CSI Canadian Securities Course Exam 1 Sample Questions:

Question #1

Which type of bond offers the investor a choice of interest payments in either of two currencies?

  • A. Subordinated debentures
  • B. Eurobonds
  • C. Foreign pay bonds
  • D. Floating-rate securities
Answer: C

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Question #2

What is the impact of a stock split on the number of shares held by the shareholders and theirprice?

  • A. The number of shares decreases and the share price decreases.
  • B. The number of shares decreases and the share price eases
  • C. The number of shares Increases and theshare price Increases.
  • D. The number of shares increases and the share price decreases.
Answer: D

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Question #3

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. Alternative trading system
  • B. Principal
  • C. Over-the-counter agent
  • D. Clearing agent
Answer: B

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Question #4

Where docs primary responsibility for gatekeeping inthe securities industry reside?

  • A. With the provincial securities regulators.
  • B. With OS FI
  • C. With the market surveillance Division of CIRO.
  • D. With the CIRO dealer members and all Their employees
Answer: D

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Question #5

An investor has earned additional Income and is looking to invest in a security that guarantees returns over.
The next seven years. What is the Best option for purchase?

  • A. Proffered shares
  • B. Provincial saving bond
  • C. Common shares
  • D. Exchange-traded fund.
Answer: B

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