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CSI CSC1

CSC1

Exam Code: CSC1

Exam Name: Canadian Securities Course Exam 1

Updated: Aug 19, 2026

Q & A: 100 Questions and Answers

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About CSI CSC1 Exam

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CSI CSC1 Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Derivatives10%- Derivative Instruments
  • 1. Hedging Strategies
  • 2. Options
  • 3. Futures
Topic 2: Corporations and their Financial Statements8%- Financial Statement Analysis
  • 1. Balance Sheet
  • 2. Cash Flow Statement
  • 3. Income Statement
Topic 3: Pricing and Trading of Fixed-Income Securities11%- Bond Markets
  • 1. Bond Pricing
  • 2. Trading Practices
  • 3. Yield Calculations
Topic 4: The Canadian Investment Marketplace15%- Canadian Regulatory Environment
  • 1. Ethics
  • 2. Regulation and Supervision
  • 3. Regulators
- Canadian Securities Industry
  • 1. Overview of the Industry
  • 2. Trends in the Market
  • 3. Other Financial Intermediaries
  • 4. Investment Dealer's Role as a Financial Intermediary
- Capital Markets
  • 1. Markets
  • 2. Products
  • 3. Capital
Topic 5: Common and Preferred Shares13%- Equity Securities
  • 1. Shareholder Rights
  • 2. Preferred Shares
  • 3. Common Shares
Topic 6: Financing and Listing Securities8%- Security Issuance
  • 1. Public Offerings
  • 2. Listing Requirements
  • 3. Private Placements
Topic 7: Equity Transactions10%- Trading Equities
  • 1. Order Types
  • 2. Settlement Procedures
  • 3. Margin Trading
Topic 8: Features and Types of Fixed-Income Securities12%- Fixed-Income Instruments
  • 1. Yield and Risk
  • 2. Corporate Bonds
  • 3. Government Bonds
Topic 9: The Economy13%- Macroeconomic Fundamentals
  • 1. Inflation
  • 2. Fiscal Policy
  • 3. Monetary Policy
  • 4. Economic Cycles

CSI Canadian Securities Course Exam 1 Sample Questions:

1. Which investment dealer category do discount brokers belong to?

A) Boutique firms
B) Integrated firm
C) Institution firms
D) Retail firms


2. When acting as a principal, how do investment dealers generate revenue?

A) Thrown tracers.
B) Through spreads on buy/sell prices.
C) Through commissions
D) Through brokerage changes.


3. What is thefirst step In determining the present valueof a bond with coupon payments?

A) Determine the appropriate compounding rate.
B) Determine the present value of the bond a principal to be received at maturity.
C) Determine the present value of the income stream from the bond s coupon payments.
D) Determine me appropriate discount rate


4. Which bend is the most volatile, assuming the same coupon rate and creditquality?

A) Six-year bond with two years to maturity
B) Five-year bond with four years to maturity.
C) Ten-year bond with three years to maturity.
D) Seven-yearbond with one year to maturity.


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) The valuation of securities for estate tax purposes and estate tax punning will be easier
C) Management will benefit from the public disclosure of changes in the company.
D) Listing the company will require restrictions on stock options Issued for Internal use


Solutions:

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

CSC1 Related Exams
AFP-Exam-1 - Applied Financial Planning Certification Exam 1 (AFP)
CSC2 - Canadian Securities Course Exam2
Related Certifications
Canadian Securities Course
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