최신 CSC1 무료덤프 - CSI Canadian Securities Course Exam 1

문제1

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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문제2

What is an example of a common feature of robo-advisor services?

A. The portfoliosare rarely rebalanced

B. The service is exclusively provided to intermediaries such as advisors and employers

C. Portfolios are built primarily with individual stocks andbonds.

D. A telephone call with an advisor verifies that the computer-generatedportfolio is suitable for the client.

정답: D

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문제3

Who in a sell-side firm is responsible for structuring new debt issues and bringing them to the primary market?

A. Sales representative

B. Trader

C. Portfolio manager

D. Investment banker

정답: D

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문제4

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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문제5

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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문제6

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

A. Prevent delisting from a stock exchange

B. Fewer outstanding shares

C. Decrease the share price

D. increase the share price

정답: C

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문제7

Which activity performed bythe Bank of Canada reflects role as the fiscal agent for the federal government?

A. Designing and distributing bank notes.

B. Providing advice on debt Issuances based on its assessment of the capital markets.

C. Preserving the value of the Canadian dollar by keeping inflation low

D. Working with domestic and international regulatory bodies

정답: B

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문제8

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 low coupon.

B. A long-term bond with a low coupon.

C. A short-term bond with a high coupon.

D. A long-term bond with a high coupon.

정답: B

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문제9

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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문제10

What is one atthe most important factors todetermine how muchof a product people buy or sell in a given marketplace?

A. Maximized profits

B. Consumer satisfaction

C. Price level

D. Government spending

정답: C

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최신 CSC1 무료덤프 - CSI Canadian Securities Course Exam 1

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