CSI CSC1 - Canadian Securities Course Exam 1
- Exam Code: CSC1
- Exam Name: Canadian Securities Course Exam 1
- Updated: Aug 15, 2026
- Q & A: 100 Questions and Answers
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| Section | Weight | Objectives |
|---|---|---|
| Features and Types of Fixed-Income Securities | 12% | - Fixed-Income Instruments
|
| Corporations and their Financial Statements | 8% | - Financial Statement Analysis
|
| Derivatives | 10% | - Derivative Instruments
|
| Pricing and Trading of Fixed-Income Securities | 11% | - Bond Markets
|
| The Economy | 13% | - Macroeconomic Fundamentals
|
| Equity Transactions | 10% | - Trading Equities
|
| Common and Preferred Shares | 13% | - Equity Securities
|
| Financing and Listing Securities | 8% | - Security Issuance
|
| The Canadian Investment Marketplace | 15% | - Capital Markets
|
1. Using the Moody's long-term rating scale, which rating is best suited for an obligation that is not yetin default, out is considered speculative andsubject to very high credit risk?
A) C
B) Caa
C) Ba
D) B
2. What Is the requirementestablished by the Canadian Radio-television and Telecommunications Commission that applies to an advisor who is cold calling potential new clients?
A) An advisor must subscribe to the National Do Not car List (DNCL)
B) An advisor must make sales calls only during regular business hours
C) An advisor must not can any person who has been a DNCL registrant for more than one day
D) An advisor must advise DNCL registrants within the first minute that it is a sales call
3. Which trend affecting the financialservices industry has resulted inthe significant use ETFs?
A) The popularity of robo-advisors
B) The rise of financialtechnology companies
C) The emergence of cryptocurrency
D) The shift towardsdefined contribution plans
4. A large number of well-trained, willing-to-work individuals have given up trying to find employment. All else being equal, how will the labor market indicators be affected by this event.
A) A decrease in the overall unemployment rate.
B) An increase in the labour force.
C) A decrease in the structural unemployment rate.
D) An increase in the participation rate.
5. Which bend is the most volatile, assuming the same coupon rate and creditquality?
A) Seven-yearbond with one year to maturity.
B) Six-year bond with two years to maturity
C) Ten-year bond with three years to maturity.
D) Five-year bond with four years to maturity.
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: C |
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