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CSI CSC1 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Financing and Listing Securities | 7% | - Listing requirements and rules - Primary market and issuance process |
| Topic 2: Derivatives | 10% | - Uses, risks and basic strategies - Options, futures and forwards |
| Topic 3: Equity Transactions | 10% | - Margin and short selling - Order types and execution - Trading mechanics and regulations |
| Topic 4: The Economy | 13% | - Monetary and fiscal policy - Macroeconomic principles and indicators - Impact of economic factors on investments |
| Topic 5: Common and Preferred Shares | 13% | - Equity features and rights - Valuation and classification - Dividends and corporate actions |
| Topic 6: Regulation and Ethics | 8% | - Client suitability and disclosure - Industry regulations and compliance - Code of conduct and ethical standards |
| Topic 7: Features and Types of Fixed-Income Securities | 12% | - Characteristics, risks and benefits - Types of fixed-income instruments - Government and corporate bonds |
| Topic 8: The Canadian Investment Marketplace | 16% | - Regulators and self-regulatory organizations - Structure of Canadian financial system - Market participants and roles |
| Topic 9: Pricing and Trading of Fixed-Income Securities | 11% | - Valuation and pricing methods - Price-yield relationship - Trading and settlement processes |
CSI Canadian Securities Course Exam 1 Sample Questions:
1. What is one feature of a generalpartnership?
A) it can raise funds by issuing equity .
B) A general partner runs the business and the limited partners do not.
C) The partners ate personally liable for al debts of the business
D) it is a distinct legal entity separate from its owners
2. A politician promises to lower income taxes and increase government spending on social programs. but once selected her government's high debt level prevents her from doing so. Which challenge has this politician faced?
A) Timing lags
B) Political business cycle
C) Co-ordination of federal, Provincial, and municipal policies
D) Unsynchronized fiscal and monetary policies.
3. KJR made the following warrants offering:
What is the intrinsic value of 1 KJR inc, warrant?
A) $2
B) $0
C) $5
D) $3
4. What is the impact of a stock split on the number of shares held by the shareholders and theirprice?
A) The number of shares increases and the share price decreases.
B) The number of shares decreases and the share price eases
C) The number of shares decreases and the share price decreases.
D) The number of shares Increases and theshare price Increases.
5. Which exchange trades all financial andequity futures and options listed for trading in Canada?
A) Montreal Exchange
B) Toronto Stock Exchange
C) ICE NGX Canada
D) Canadian Securities Exchange
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: A |
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