CSI CSC1 : Canadian Securities Course Exam 1

CSC1 real exams

Exam Code: CSC1

Exam Name: Canadian Securities Course Exam 1

Updated: Aug 16, 2026

Q & A: 100 Questions and Answers

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CSI CSC1 Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Derivatives10%- Derivative Instruments
  • 1. Options
  • 2. Futures
  • 3. Hedging Strategies
Topic 2: The Canadian Investment Marketplace15%- Canadian Securities Industry
  • 1. Trends in the Market
  • 2. Investment Dealer's Role as a Financial Intermediary
  • 3. Other Financial Intermediaries
  • 4. Overview of the Industry
- Canadian Regulatory Environment
  • 1. Ethics
  • 2. Regulation and Supervision
  • 3. Regulators
- Capital Markets
  • 1. Products
  • 2. Markets
  • 3. Capital
Topic 3: Financing and Listing Securities8%- Security Issuance
  • 1. Public Offerings
  • 2. Private Placements
  • 3. Listing Requirements
Topic 4: Corporations and their Financial Statements8%- Financial Statement Analysis
  • 1. Cash Flow Statement
  • 2. Balance Sheet
  • 3. Income Statement
Topic 5: Common and Preferred Shares13%- Equity Securities
  • 1. Preferred Shares
  • 2. Shareholder Rights
  • 3. Common Shares
Topic 6: Features and Types of Fixed-Income Securities12%- Fixed-Income Instruments
  • 1. Corporate Bonds
  • 2. Yield and Risk
  • 3. Government Bonds
Topic 7: Pricing and Trading of Fixed-Income Securities11%- Bond Markets
  • 1. Yield Calculations
  • 2. Bond Pricing
  • 3. Trading Practices
Topic 8: The Economy13%- Macroeconomic Fundamentals
  • 1. Inflation
  • 2. Economic Cycles
  • 3. Fiscal Policy
  • 4. Monetary Policy
Topic 9: Equity Transactions10%- Trading Equities
  • 1. Order Types
  • 2. Settlement Procedures
  • 3. Margin Trading

CSI Canadian Securities Course Exam 1 Sample Questions:

1. What is the main benefit of investing in preferred shares?

A) Higher potential for capital appreciation than common shares.
B) Priority to claim assets ahead of debt holders.
C) Guaranteed dividend payment.
D) Priority to receive fixed dividends ahead of common shareholders.


2. What is a Key assumption ofthe expectations theory?

A) The yield curve represents me supply ofand demand tot bones of various terms, which ace primarily influenced by the bigger payers In each sector
B) Current short-term interest rates foreshadow future long-term rales.
C) Investors prefer short-term bonds because they are more liquid and less volatile in price
D) investors buying a single long-term bond should be earning the same amount of interest as they would by buying two short-term bonds of equal combined duration.


3. What obligation dues an IA have when communicating informationabout a preliminary prospectus to prospectiveinvestors?

A) The IA must provide a greensheet
B) The IA must ensure 3 proxy is mailed to the investors to vote for approval or disapproval of the offering.
C) The IA must make a tombstone advertisement.
D) The IA mum record the names addresses of those who have requested and received a preliminary prospectus


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

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


5. An investor wants to gain exposure to the Canadian stock market with minimal risk exposure. What is the test financial instrument for this investor?

A) Index exchange-trace fund.
B) Index-linked guaranteed investment certificate.
C) Call option.
D) Canadian bank preferred shares.


Solutions:

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

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