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CSI CSC1 Exam Syllabus Topics:

CSI Canadian Securities Course Exam 1 Sample Questions:

1. What is the role thatthe dealer memberis taking when a client's order for an unlisted security is filled directly from inventory rather than on the exchange?

A) Over-the-counter agent
B) Alternative trading system
C) Principal
D) Clearing agent

2. What tern describes the requirementof registrants to collectextensive personal and financial Information from individuals before making an investment recommendation?

A) Know Your Client rule.
B) Fiduciary duty
C) Suitability rule
D) Gatekeeper obligations.

3. What is one feature of a generalpartnership?

A) it can raise funds by issuing equity .
B) The partners ate personally liable for al debts of the business
C) it is a distinct legal entity separate from its owners
D) A general partner runs the business and the limited partners do not.

4. The consumerprice index was 125.9 in Decemberoflast year and 123.0 in December ofthe year before What was the inflation rate last year?

A) 1.02%
B) 2.36%
C) 2.30%
D) 0.98%

5. Which type of bond allows the issuer to redeem at a specified premium prior to maturity?

A) Callable
B) Retractable
C) Convertible
D) Extendible
E) Acronyms

Solutions: