CSI CSC1 : Canadian Securities Course Exam 1

CSC1 real exams

Exam Code: CSC1

Exam Name: Canadian Securities Course Exam 1

Updated: Oct 03, 2026

Q & A: 100 Questions and Answers

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CSI CSC1 Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Pricing and Trading of Fixed-Income Securities11%- Price-yield relationship
- Trading and settlement processes
- Valuation and pricing methods
Topic 2: Equity Transactions10%- Margin and short selling
- Trading mechanics and regulations
- Order types and execution
Topic 3: Common and Preferred Shares13%- Valuation and classification
- Dividends and corporate actions
- Equity features and rights
Topic 4: Features and Types of Fixed-Income Securities12%- Types of fixed-income instruments
- Characteristics, risks and benefits
- Government and corporate bonds
Topic 5: Financing and Listing Securities7%- Listing requirements and rules
- Primary market and issuance process
Topic 6: The Economy13%- Macroeconomic principles and indicators
- Impact of economic factors on investments
- Monetary and fiscal policy
Topic 7: Regulation and Ethics8%- Industry regulations and compliance
- Code of conduct and ethical standards
- Client suitability and disclosure
Topic 8: The Canadian Investment Marketplace16%- Market participants and roles
- Structure of Canadian financial system
- Regulators and self-regulatory organizations
Topic 9: Derivatives10%- Uses, risks and basic strategies
- Options, futures and forwards

CSI Canadian Securities Course Exam 1 Sample Questions:

Question #1

A fixed-rate bond was originally priced at $100 and paid $5 per year in interest. Currently,the bond is trading at $102.75. What is the impact on the current yield of coupon of the bond as a result of the change in price?

  • A. The current yield is higher man 5%.
  • B. The current yield is lower than 5%
  • C. The coupon is lower than 5%.
  • D. The coupon is higher than 5%.
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Question #2

What is the settlement date for Government of Canada bones?

  • A. Three business days after the transaction.
  • B. Two business days after the transaction
  • C. One business day after the transaction
  • D. same day me transaction takes place.
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #3

Assume the Government of Canada issues new fixed-incomesecurities with an original term to maturity sixmonthsthat does not pay interest, which type of fixed-income securities were issued?

  • A. Guaranteed bonds
  • B. Term deposits
  • C. Treasury bills
  • D. Commercial paper
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #4

What is the likely outcome attheend of a five-year term of a rate-reset preferred share if the issuer does not redeem the shares?

  • A. The shareholder exchanges the rate-reset preferredshare for an unsecured bond
  • B. The shareholder exchanges the rate-reset preferredshare for a specified number ofcommon shares.
  • C. The shareholder exchanges the rate-reset preferred share for a fixed-rate preferred share.
  • D. The shareholder exchanges the rate-reset preferred share for afloating-rate preferred share
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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Question #5

An investor feels unfairly treatedby a stockbroker regarding a setof transactions. After a discussion of the situation Between the investor and the member, the investor and the member, the investor is still dissatisfied.
What is the best requestthat the investor could make to seek compensation?

  • A. A payment from the Canadian investor Protection Fund.
  • B. An investigation by the Ombudsman for Banking Service and investments.
  • C. A rescission of the objectionable trades.
  • D. An Independent arbitration.
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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