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CSI CSC1 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Equity Transactions | 10% | - Order types and execution - Trading mechanics and regulations - Margin and short selling |
| Topic 2: Financing and Listing Securities | 7% | - Primary market and issuance process - Listing requirements and rules |
| Topic 3: Pricing and Trading of Fixed-Income Securities | 11% | - Price-yield relationship - Valuation and pricing methods - Trading and settlement processes |
| Topic 4: The Canadian Investment Marketplace | 16% | - Market participants and roles - Structure of Canadian financial system - Regulators and self-regulatory organizations |
| Topic 5: Regulation and Ethics | 8% | - Code of conduct and ethical standards - Industry regulations and compliance - Client suitability and disclosure |
| Topic 6: The Economy | 13% | - Monetary and fiscal policy - Macroeconomic principles and indicators - Impact of economic factors on investments |
| Topic 7: Features and Types of Fixed-Income Securities | 12% | - Characteristics, risks and benefits - Government and corporate bonds - Types of fixed-income instruments |
| Topic 8: Common and Preferred Shares | 13% | - Equity features and rights - Valuation and classification - Dividends and corporate actions |
| Topic 9: Derivatives | 10% | - Uses, risks and basic strategies - Options, futures and forwards |
CSI Canadian Securities Course Exam 1 Sample Questions:
1. Where would the description da company's fixed assets normallybe found?
A) In the auditor report
B) In the statement of financial position.
C) In the notes to the financial statements
D) In the annual report
2. Which type of bond offers the investor a choice of interest payments in either of two currencies?
A) Eurobonds
B) Foreign pay bonds
C) Subordinated debentures
D) Floating-rate securities
3. Why wouldacorporation choose to issue preferred shares rather than debt?
A) The preferred dividend rate usually varies with the market interest rates
B) issuing preferred shares would reduce the amount of leverage.
C) The costs for issuing preferred shares are usually kwh than debt.
D) Existing assets have excess financing capacity to justify the issue of preferred shares.
4. What is one at the advantages for the company when shares are publicly listed?
A) Additional disclosure.
B) Additional controls on management
C) Shareholders goodwill
D) Need to keep market participants informed.
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) Exchange-traded fund.
D) Common shares
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: B | Question # 3 Answer: B | Question # 4 Answer: C | Question # 5 Answer: B |








