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CSI CSC1 Exam Syllabus Topics:

SectionObjectives
Fixed Income Securities- Debt instruments
  • 1. Bonds and debentures characteristics
    • 2. Interest rates and bond pricing basics
      Canadian Financial Markets and Economic Environment- Economic fundamentals
      • 1. Macroeconomic indicators and cycles
        • 2. Monetary policy and fiscal policy basics
          - Structure of capital markets and financial system
          • 1. Primary and secondary markets functions
            • 2. Money markets and capital markets overview
              Equity Securities- Common and preferred shares
              • 1. Market indices and trading basics
                • 2. Equity valuation fundamentals

                  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. Extendible
                  B. Convertible
                  C. Acronyms
                  D. Callable
                  E. Retractable


                  Question 2

                  Which condition must exist for a company to issue a short Form prospectus?

                  A. The offering is for the purpose of financing a material change in the issuer's business
                  B. it is exclusively a reporting issuer in foreign Jurisdictions.
                  C. it already has securities listed and posted for tracing or quoted on an eligible exchange
                  D. Its principal asset is cash or cash equivalents, or exchange listing


                  Question 3

                  What is the main benefit for the investors when a company announces a stock spit?

                  A. An increase in the shares' affordability.
                  B. An increase in the value of the shareholderstake
                  C. An Increase in the proportion of the shareholder's stake.
                  D. An increase in the shares' market price.


                  Question 4

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


                  Question 5

                  A private company is working with an advisory firm To apply for a listing on a public exchange.
                  The management is concerned with the additional costs for the company Incurred by the listing and ongoing annual fees. What should management consider with regard to the costs and benefits of public listing?

                  A. Management will benefit from the public disclosure of changes in the company.
                  B. Listing the company win attract new shareholders and increase the ability to raise capital.
                  C. Listing the company will require restrictions on stock options Issued for Internal use
                  D. The valuation of securities for estate tax purposes and estate tax punning will be easier


                  Solutions:

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

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