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CSI CSC1 Exam Syllabus Topics:

SectionWeightObjectives
Financing and Listing Securities8%- Security Issuance
  • 1. Listing Requirements
  • 2. Public Offerings
  • 3. Private Placements
Common and Preferred Shares13%- Equity Securities
  • 1. Common Shares
  • 2. Preferred Shares
  • 3. Shareholder Rights
Derivatives10%- Derivative Instruments
  • 1. Options
  • 2. Futures
  • 3. Hedging Strategies
Corporations and their Financial Statements8%- Financial Statement Analysis
  • 1. Balance Sheet
  • 2. Income Statement
  • 3. Cash Flow Statement
The Economy13%- Macroeconomic Fundamentals
  • 1. Inflation
  • 2. Economic Cycles
  • 3. Monetary Policy
  • 4. Fiscal Policy
Equity Transactions10%- Trading Equities
  • 1. Margin Trading
  • 2. Order Types
  • 3. Settlement Procedures
Features and Types of Fixed-Income Securities12%- Fixed-Income Instruments
  • 1. Government Bonds
  • 2. Yield and Risk
  • 3. Corporate Bonds
Pricing and Trading of Fixed-Income Securities11%- Bond Markets
  • 1. Trading Practices
  • 2. Yield Calculations
  • 3. Bond Pricing
The Canadian Investment Marketplace15%- Capital Markets
  • 1. Products
  • 2. Markets
  • 3. Capital
- Canadian Securities Industry
  • 1. Overview of the Industry
  • 2. Other Financial Intermediaries
  • 3. Investment Dealer's Role as a Financial Intermediary
  • 4. Trends in the Market
- Canadian Regulatory Environment
  • 1. Regulation and Supervision
  • 2. Regulators
  • 3. Ethics

CSI Canadian Securities Course Exam 1 Sample Questions:

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

  • A. Retractable bonds and debentures
  • B. Callable preferred shares.
  • C. Retractable common shares
  • D. Redeemable preferred shares.
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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What is theImpact from a security price increase on the investorholding a long margin position?

  • A. The Investor must provide additional funds to cover the price difference
  • B. The investor must immediately pay interest on the excess margin amount
  • C. The investor will incur a loss equivalent lo the difference be-ween the purchase and sale price.
  • D. The investor has access to additional funds from the account available for withdrawal.
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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What is a characteristic of the FTSE Canada Universe Bond index?

  • A. US dollar bonds from Canadian issuers are included
  • B. It is a capitalization-weighted index.
  • C. Only bonds with a term to mammy of 30 days or more are eligible for inclusion.
  • D. Only government bonds ate included
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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What is thefirst step In determining the present valueof a bond with coupon payments?

  • A. Determine the appropriate compounding rate.
  • B. Determine me appropriate discount rate
  • C. Determine the present value of the bond a principal to be received at maturity.
  • D. Determine the present value of the income stream from the bond s coupon payments.
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Correct Answer: B  🗳️

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What financial instrument is derived from thevalue of an underlying asset?

  • A. Preferred share.
  • B. Real estate investment trust
  • C. Inflation linked bond
  • D. Forward contract
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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