CSI Canadian Securities Course Exam 1 - CSC1 Free Exam Questions

A. Determine the present value of the bond a principal to be received at maturity.

B. Determine the appropriate compounding rate.

C. Determine the present value of the income stream from the bond s coupon payments.

D. Determine me appropriate discount rate

A. The investor will incur a loss equivalent lo the difference be-ween the purchase and sale price.

B. The investor has access to additional funds from the account available for withdrawal.

C. The Investor must provide additional funds to cover the price difference

D. The investor must immediately pay interest on the excess margin amount

A. Sinking funds can redeem bonds only if they trade below a stipulated price while purchase runes do not have such a requirement.

B. Sinking funds involve the issuer determining when bonds are redeemed while purchase funds Involve the investor determining when the bonds are redeemed.

C. Sinking funds have mandated redemptions while purchase funds can redeem only upon certain market conditions.

D. Sinking funds can redeem fie bones any time while purchase funds follow a prearranged schedule.

A. Buyer

B. Seller

C. Exchange

D. investment dealer

A. Their liability is limited to their investment

B. They are liable only to the extent of the daily business activities they participate in.

C. They are not liable for debts and losses incurred in business operations.

D. Their liability includes personal assets.

A. Report her trading activity involving ABC Inc. stock and Issue a press re-case reporting tne holdings in XYZ Company.

B. Report her trading activity involving XYZ Company stock only.

C. Report her trading activity Involving both ABC inc. and XYZ Company stock.

D. Report her trading activity Involving ABC Inc. stock only.

A. The IA must make a tombstone advertisement.

B. The IA must provide a greensheet

C. The IA mum record the names addresses of those who have requested and received a preliminary prospectus

D. The IA must ensure 3 proxy is mailed to the investors to vote for approval or disapproval of the offering.

A. Theyare backed by provincial assetspledged an security.

B. They do not have redemption rules.

C. They can be purchased at any time of the year.

D. They can &e purchased only by residents of the province.

A. Public float shares.

B. issued shares

C. Outstanding shares.

D. Market capitalization shares.

A. The partners ate personally liable for al debts of the business

B. it can raise funds by issuing equity .

C. A general partner runs the business and the limited partners do not.

D. it is a distinct legal entity separate from its owners