최신 CSC1 무료덤프 - CSI Canadian Securities Course Exam 1

문제1

Where docs primary responsibility for gatekeeping inthe securities industry reside?

A. With the CIRO dealer members and all Their employees

B. With the market surveillance Division of CIRO.

C. With the provincial securities regulators.

D. With OS FI

정답: A

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문제2

TDF Dealer's liability desk purchases 5,000 shares of a stock with a market order at $15 bid, $15.20 ask. The desk later sells the shares with a market order at $15.25 bid, $15.40 ask. What is TDP Dealer's gain on the trades?

A. $1, 000.

B. $250.

C. $2,000.

D. $1,250

정답: A

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문제3

The Bank of Canada uses anoperating band to help manage the oversight rate. Howwide is the operating Band?

A. 75 basis points

B. 50 basis points

C. 100 basis points.

D. 25 basis points

정답: B

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문제4

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 will require restrictions on stock options Issued for Internal use

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 win attract new shareholders and increase the ability to raise capital.

정답: D

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문제5

Which type of bond allows the issuer to redeem at a specified premium prior to maturity?

A. Callable

B. Acronyms

C. Retractable

D. Extendible

E. Convertible

정답: A

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문제6

Based on market capitalization. which sector of the SSP.'TSX Composite index has one of the highest weightings withinthe index?

A. Energy

B. Health care

C. Information technology

D. Utilities

정답: A

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문제7

Under which circumstance is an option considered to be in-the-money?

A. When a put option with the price of the underlying asset is higher than the strike price.

B. When a call option with the price of the underlying asset is lower than the strike price.

C. When a put option with the price of the underlying asset is higher than the strike price.

D. When a put option with the price of the underlying asset is higher than the strike price.

정답: C

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문제8

Which security is issued by a company lo existing shareholders allowing, them to subscribe for additionalshares over a period of severalyears?

A. Rights.

B. Warrants

C. Long-term equity anticipation security.

D. Stock options.

정답: B

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문제9

What bestdescribes the liability of limited partners in a limited partnership?

A. Their liability includes personal assets.

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

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

D. Their liability is limited to their investment

정답: D

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문제10

An emerging Canadian company is exploring the possibility of using hotwater springs to produce clear energy forremote rural communities.The company has strong human resource capital and few assets, and raised SI
20,000 through the Capital Pool Company program. Which option is best for this company to continue maximizing public exposure and raising capital?

A. offering a greenshee option

B. Filling disclosure documents with SEDAR+.

C. Escrowing shares

D. Crowfunding

정답: D

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최신 CSC1 무료덤프 - CSI Canadian Securities Course Exam 1

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