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CSI CSC1 Exam Syllabus Topics:
| Section | Weight | Objectives |
| Topic 1: Financing and Listing Securities | 7% | - Primary market and issuance process
- Listing requirements and rules
|
| Topic 2: Derivatives | 10% | - Options, futures and forwards
- Uses, risks and basic strategies
|
| Topic 3: Common and Preferred Shares | 13% | - Equity features and rights
- Valuation and classification
- Dividends and corporate actions
|
| Topic 4: Pricing and Trading of Fixed-Income Securities | 11% | - Price-yield relationship
- Valuation and pricing methods
- Trading and settlement processes
|
| Topic 5: Regulation and Ethics | 8% | - Industry regulations and compliance
- Code of conduct and ethical standards
- Client suitability and disclosure
|
| Topic 6: The Economy | 13% | - Impact of economic factors on investments
- Monetary and fiscal policy
- Macroeconomic principles and indicators
|
| Topic 7: Equity Transactions | 10% | - Trading mechanics and regulations
- Margin and short selling
- Order types and execution
|
| Topic 8: Features and Types of Fixed-Income Securities | 12% | - Types of fixed-income instruments
- Government and corporate bonds
- Characteristics, risks and benefits
|
| Topic 9: The Canadian Investment Marketplace | 16% | - Market participants and roles
- Regulators and self-regulatory organizations
- Structure of Canadian financial system
|
CSI Canadian Securities Course Exam 1 Sample Questions:
1. Which trend affecting the financialservices industry has resulted inthe significant use ETFs?
A) The rise of financialtechnology companies
B) The shift towardsdefined contribution plans
C) The emergence of cryptocurrency
D) The popularity of robo-advisors
2. Which statutory right allowsa purchaser to caned their order if a prospectus has a misrepresentation?
A) Right of withdrawal.
B) Right of amended prospectus delivery
C) Right of rescission.
D) Right of action for damages
3. What financial instrument is derived from thevalue of an underlying asset?
A) Forward contract
B) Real estate investment trust
C) Preferred share.
D) Inflation linked bond
4. What is theImpact from a security price increase on the investorholding a long margin position?
A) The investor must immediately pay interest on the excess margin amount
B) The investor has access to additional funds from the account available for withdrawal.
C) The Investor must provide additional funds to cover the price difference
D) The investor will incur a loss equivalent lo the difference be-ween the purchase and sale price.
5. The Bank of Canada uses anoperating band to help manage the oversight rate. Howwide is the operating Band?
A) 75 basis points
B) 25 basis points
C) 100 basis points.
D) 50 basis points
Solutions:
Question # 1 Answer: B | Question # 2 Answer: C | Question # 3 Answer: A | Question # 4 Answer: B | Question # 5 Answer: D |