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CSI CSC1 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Pricing and Trading of Fixed-Income Securities | 11% | - Valuation and pricing methods - Trading and settlement processes - Price-yield relationship |
| Financing and Listing Securities | 7% | - Primary market and issuance process - Listing requirements and rules |
| Regulation and Ethics | 8% | - Client suitability and disclosure - Code of conduct and ethical standards - Industry regulations and compliance |
| Common and Preferred Shares | 13% | - Equity features and rights - Dividends and corporate actions - Valuation and classification |
| The Canadian Investment Marketplace | 16% | - Structure of Canadian financial system - Market participants and roles - Regulators and self-regulatory organizations |
| Features and Types of Fixed-Income Securities | 12% | - Characteristics, risks and benefits - Types of fixed-income instruments - Government and corporate bonds |
| Derivatives | 10% | - Uses, risks and basic strategies - Options, futures and forwards |
| Equity Transactions | 10% | - Margin and short selling - Order types and execution - Trading mechanics and regulations |
| The Economy | 13% | - Macroeconomic principles and indicators - Monetary and fiscal policy - Impact of economic factors on investments |
CSI Canadian Securities Course Exam 1 Sample Questions:
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
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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.
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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
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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
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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.
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