최신 CSC1 무료덤프 - CSI Canadian Securities Course Exam 1

문제1

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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문제2

Which statutory right allowsa purchaser to caned their order if a prospectus has a misrepresentation?

A. Right of amended prospectus delivery

B. Right of rescission.

C. Right of withdrawal.

D. Right of action for damages

정답: B

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문제3

What is the role thatthe dealer memberis taking when a client's order for an unlisted security is filled directly from inventory rather than on the exchange?

A. Clearing agent

B. Principal

C. Alternative trading system

D. Over-the-counter agent

정답: B

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문제4

A large corporation has issued the following securities:commercialpaper, first mortgage bonds, and equipment trust certificates Which ranging of the securities is correctly seated from most secure to teas: secure?

A. Firm mortgage bonds commercial paper, equipment trust certificates.

B. Commercial paper fast mortgage bonds, equipment "trust certificates

C. First mortgage bonds equipment trust certificates, commercial paper.

D. Equipment trust certificates, first mortgage bonds, commercial paper.

정답: D

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문제5

What tern describes the requirementof registrants to collectextensive personal and financial Information from individuals before making an investment recommendation?

A. Fiduciary duty

B. Gatekeeper obligations.

C. Know Your Client rule.

D. Suitability rule

정답: C

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문제6

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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문제7

Which preferredshare pays a fixed dividend rate based on the yield to maturity on the five-year benchmark Government at Canada bond?

A. Floating-rate preferred share.

B. Fixed-rate perpetual preferred share.

C. Flexed/floating preferred share.

D. Rate-reset preferred share.

정답: D

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문제8

An investor sold short 1,500 MNO common shares at $12.75 pershare. What is the outcome if the investorcovers the short position at $10.15 per share?

A. A loss of $2,382

B. A loss of $3,000

C. A profit of $3,900

D. A profit of $2,382

정답: C

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문제9

Diana was appointed a senior vice president of the ABC inc. She is also a member of the board of XYZ Company where ABC inc, is a % stockholder. What best describes Diana's insider reporting obligations to the regulator?

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 ABC Inc. stock only.

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

정답: D

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문제10

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. $53

C. $55

D. $63

정답: B

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최신 CSC1 무료덤프 - CSI Canadian Securities Course Exam 1

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