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CSI CSC1 Exam Syllabus Topics:

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

CSI Canadian Securities Course Exam 1 Sample Questions:

1. When acting as a principal, how do investment dealers generate revenue?

A) Through brokerage changes.
B) Through spreads on buy/sell prices.
C) Through commissions
D) Thrown tracers.


2. Haw are retail stock and bond transactions settledon a daily basis amongdealers?

A) The exchange is responsible for settling all transactions according to each exchange's book of record.
B) The clearing corporation is responsible for settling all transactions according to each dealer's book of record.
C) The clearing corporation is responsible for setting an transactions according to each exchange's book of record.
D) The exchange is responsible for settling ad transactions according to each dealer's book of record.


3. What type of unemployment is caused by normal labour turnover such as completing school or changing employment?

A) Cyclical
B) Structural
C) Natural
D) Frictional


4. What is unique to responsible investment?

A) It bases investment decisions exclusively on environmental factors.
B) ESG factors are standardized across the investment no industry.
C) A combination of a values and valuation-based approach to investing
D) It is unavailable with certain asset classes like segregated fundi


5. Under which circumstance is an option considered to be in-the-money?

A) When a put option with the price of the underlying asset is higher than the strike price.
B) When a put option with the price of the underlying asset is higher than the strike price.
C) When a call option with the price of the underlying asset is lower than the strike price.
D) When a put option with the price of the underlying asset is higher than the strike price.


Solutions:

Question # 1
Answer: B
Question # 2
Answer: B
Question # 3
Answer: D
Question # 4
Answer: D
Question # 5
Answer: D

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