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CSI Canadian Securities Course Exam 1 - CSC1 Exam Practice Test

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Total 100 questions

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Question 1

ABT Ltd. is currently trading at $65. An investor buys five ABT July 55 put options for $2each. Ignoring commissions, what price must ABT Ltd. common shares trade at for theinvestor to break even on her put options?

A. $57 B. $55 C. $63 D. $53

Discussion 0

Correct Answer: D Vote an answer

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Question 2

What bond should an advisorrecommend to someone who wants to hold bonds and maximize potential cap-tai gams when interest rates are expected to fall?

A. A short-term bond with a high coupon. B. A long-term bond with a high coupon. C. A long-term bond with a low coupon. D. A short-term bond with a low coupon.

Discussion 0

Correct Answer: C Vote an answer

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Question 3

A bond with a duration of five is currently priced at $103. If Interestrates rise by 2%. approximately what win be me bond's price?

A. $97.85 B. $108.15 C. $92.70 D. $113.30

Discussion 0

Correct Answer: A Vote an answer

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Question 4

When a company issues a number of common shares, some of which areheld by institutional investors, what are the institutional investors' shares known as?

A. Public float shares. B. issued shares C. Outstanding shares. D. Market capitalization shares.

Discussion 0

Correct Answer: A Vote an answer

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Question 5

What is a company likely trying -c achieve when ituses a stock spit as part of itscorporate strategy?

A. Decrease the share price B. increase the share price C. Prevent delisting from a stock exchange D. Fewer outstanding shares

Discussion 0

Correct Answer: A Vote an answer

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Question 6

Which derivatives transactionhas the greatest default risk?

A. Exchange-traded equity option contract between an individual investor and a dealer. B. Interest rate forward agreement between an investment dealer and a corporation. C. Individual investor buying shares on an exchange during the ex-rights period. D. Individual investor entering future contract with an institutional investor.

Discussion 0

Correct Answer: B Vote an answer

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Question 7

What is the action that the CentralBank takes to limitthe impact of increased foreign Interestrates on Interest rates in Canada?

A. Decrease interest rate to balance the risk of rising inflation. B. Add a default premium to interest rates to protect lenders. C. Reduce Interest rales to reduce demand for borrowing. D. increase short-term interest rates to maintain the value of currency.

Discussion 0

Correct Answer: D Vote an answer

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Question 8

What obligation dues an IA have when communicating informationabout a preliminary prospectus to prospectiveinvestors?

A. The IA mum record the names addresses of those who have requested and received a preliminary prospectus B. The IA must ensure 3 proxy is mailed to the investors to vote for approval or disapproval of the offering. C. The IA must make a tombstone advertisement. D. The IA must provide a greensheet

Discussion 0

Correct Answer: A Vote an answer

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Question 9

What Is the requirementestablished by the Canadian Radio-television and Telecommunications Commission that applies to an advisor who is cold calling potential new clients?

A. An advisor must advise DNCL registrants within the first minute that it is a sales call B. An advisor must make sales calls only during regular business hours C. An advisor must not can any person who has been a DNCL registrant for more than one day D. An advisor must subscribe to the National Do Not car List (DNCL)

Discussion 0

Correct Answer: D Vote an answer

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Question 10

Which regulatory body is responsible for thesurveillanceof trading and market-related activities of participants on Canadian equity marketplaces?

A. CIRO B. OSFI C. OBSI D. CSA

Discussion 0

Correct Answer: A Vote an answer

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Total 100 questions

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