CSI CSC1 : Canadian Securities Course Exam 1

  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Updated: Sep 28, 2026

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CSI CSC1 Exam Syllabus Topics:

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

CSI Canadian Securities Course Exam 1 Sample Questions:

Question #1

What type of unemployment is caused by normal labour turnover such as completing school or changing employment?

  • A. Frictional
  • B. Natural
  • C. Cyclical
  • D. Structural
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #2

When a futures contract is entered into, who sets the minimum initial margin rate?

  • A. Seller
  • B. Buyer
  • C. Exchange
  • D. investment dealer
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #3

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

Correct Answer: A  🗳️

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Question #4

What is unique to a shortmargin position?

  • A. Margin is discretional for securities with certain price ranges.
  • B. Short seller can suffer unlimited loss if the price of the security rises rather than fails.
  • C. Margin is established when the dealer memberloansmoney to the client.
  • D. There is a timelimit that a short position may be maintained.
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Question #5

Which condition must exist for a company to issue a short Form prospectus?

  • A. Its principal asset is cash or cash equivalents, or exchange listing
  • B. it is exclusively a reporting issuer in foreign Jurisdictions.
  • C. it already has securities listed and posted for tracing or quoted on an eligible exchange
  • D. The offering is for the purpose of financing a material change in the issuer's business
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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