CSI CSC1 - Canadian Securities Course Exam 1

CSI CSC1 Actual PDF
  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Updated: Aug 15, 2026
  • Q & A: 100 Questions and Answers
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CSI CSC1 Exam Syllabus Topics:

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

CSI Canadian Securities Course Exam 1 Sample Questions:

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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