CSI Canadian Securities Course Exam 1 : CSC1

  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Updated: Aug 18, 2026
  • Q & A: 100 Questions and Answers

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CSI CSC1 Exam Syllabus Topics:

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

CSI Canadian Securities Course Exam 1 Sample Questions:

1. What must happen before the expiry of a takeover bid and after a formal bid is made for voting securities of a reporting Issuer?

A) A press release must be issued by every investor acquiring 6% or more of the securities to the bid
B) At least 20% of lite target's outstanding preferred shares must be tendered to the bid.
C) At least 25% of the target's outstanding voting snares must be tendered to the bid.
D) Payment for ail acquired snares must be made.


2. When sharesof GHI Inc. (GHI) traded at S50. aninvestor wrote five "GHI December 45" puts for a premium of $1,20. How much cash must the investor have in their account to be a cash-secured out writer?

A) $21,900
B) $25, 000
C) $24,400
D) $22,500


3. What is one feature of a generalpartnership?

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


4. According to the Bankof Canada, approximately how many months does ittake for the effect of changes in monetary policy to be feltthrough the whole economy?

A) 36
B) 3
C) 6
D) 18


5. A private company is working with an advisory firm To apply for a listing on a public exchange.
The management is concerned with the additional costs for the company Incurred by the listing and ongoing annual fees. What should management consider with regard to the costs and benefits of public listing?

A) Listing the company win attract new shareholders and increase the ability to raise capital.
B) Listing the company will require restrictions on stock options Issued for Internal use
C) The valuation of securities for estate tax purposes and estate tax punning will be easier
D) Management will benefit from the public disclosure of changes in the company.


Solutions:

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

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