최신 CSC1 무료덤프 - CSI Canadian Securities Course Exam 1

문제1

Which exchange trades all financial andequity futures and options listed for trading in Canada?

A. Canadian Securities Exchange

B. ICE NGX Canada

C. Montreal Exchange

D. Toronto Stock Exchange

정답: C

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문제2

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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문제3

Billy owns shares of 143 Financing inc, in a discretionary account. He wants to exercise his right to vote at the company's annual general meeting, but will be away on a business trip. Who can vote on Billay's behalf?

A. Only by Billy

B. His Investment advisor who has discretionary Investment duties

C. His dealer as long as there is a signed consent on file

D. Any person whom he has designated Through a proxy

정답: D

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문제4

Whatis typically a key tax attribute of dividends?

A. Reinvested dividends arenon-taxable to the shareholders.

B. Stock dividends are treated differently than regular cash dividends for tax purposes.

C. Dividend income istaxed more preferentiallythan interest income.

D. Dividends from preferred shares are ineligible tot dividend tax credit.

정답: C

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문제5

What is unique to responsible investment?

A. It is unavailable with certain asset classes like segregated fundi

B. A combination of a values and valuation-based approach to investing

C. It bases investment decisions exclusively on environmental factors.

D. ESG factors are standardized across the investment no industry.

정답: A

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문제6

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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문제7

Which type of bond offers the investor a choice of interest payments in either of two currencies?

A. Subordinated debentures

B. Floating-rate securities

C. Eurobonds

D. Foreign pay bonds

정답: D

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문제8

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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문제9

What is one key feature of futures?

A. Can trade on an exchange or over-the-counter market.

B. Parties are unable to offset the contract prior to expiration.

C. Both parties to me contract must participate in The future Trade.

D. The buyer must pay theseller a feewhen the contract is entered Into.

정답: A

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문제10

What action must an investment advisor take when submitting a trade ticket for a short sale?

A. Mark the sell-order ticket as a short sate

B. Verify the client canborrow the shares.

C. Obtain minimum margin amount from client

D. Mark it as a margin order

정답: A

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최신 CSC1 무료덤프 - CSI Canadian Securities Course Exam 1

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