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CSI CSC1 Exam Syllabus Topics:

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

CSI Canadian Securities Course Exam 1 Sample Questions:

1. What tern describes the requirementof registrants to collectextensive personal and financial Information from individuals before making an investment recommendation?

A) Gatekeeper obligations.
B) Know Your Client rule.
C) Fiduciary duty
D) Suitability rule


2. What is a company likely trying -c achieve when ituses a stock spit as part of itscorporate strategy?

A) Decrease the share price
B) Prevent delisting from a stock exchange
C) Fewer outstanding shares
D) increase the share price


3. The principleof retraction in retractable preferredshares is identical to what other security?

A) Retractable bonds and debentures
B) Redeemable preferred shares.
C) Retractable common shares
D) Callable preferred shares.


4. How do high interest rates affect the economy?

A) They increase prices
B) They decrease the value of the Canadian dollar.
C) They reduce business investment.
D) They accelerate debt pay offs


5. Which preferredshare pays a fixed dividend rate based on the yield to maturity on the five-year benchmark Government at Canada bond?

A) Floating-rate preferred share.
B) Rate-reset preferred share.
C) Fixed-rate perpetual preferred share.
D) Flexed/floating preferred share.


Solutions:

Question # 1
Answer: B
Question # 2
Answer: A
Question # 3
Answer: A
Question # 4
Answer: C
Question # 5
Answer: B

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