FREE PDF 2025 CSI NEWEST CSC1: CANADIAN SECURITIES COURSE EXAM 1 AUTHORIZED CERTIFICATION

Free PDF 2025 CSI Newest CSC1: Canadian Securities Course Exam 1 Authorized Certification

Free PDF 2025 CSI Newest CSC1: Canadian Securities Course Exam 1 Authorized Certification

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CSI Canadian Securities Course Exam 1 Sample Questions (Q32-Q37):

NEW QUESTION # 32
What is a characteristicof provincial savings bonds?

  • A. Can be issued Internationally.
  • B. Backed by provincial assets
  • C. Available only at a certain time
  • D. Mature every six months

Answer: C

Explanation:
Provincial savings bondsare available for purchase only during specific periods, often during annual campaigns. They are a secure investment option backed by the issuing provincial government and are available only to residents of the issuing province. They are not issued internationally and do not mature every six months.
References:
* Volume 1, Chapter 6:Fixed-Income Securities, section on "Provincial and Municipal Securities" discusses the features and issuance timing of provincial savings bonds.


NEW QUESTION # 33
When acting as a principal, how do investment dealers generate revenue?

  • A. Through spreads on buy/sell prices.
  • B. Thrown tracers.
  • C. Through brokerage changes.
  • D. Through commissions

Answer: A

Explanation:
When acting as aprincipal, investment dealers buy and sell securities for their own account. They generate revenue by earning aspread, which is the difference between the price at which they buy securities (bid price) and the price at which they sell them (ask price). This is distinct from their role as an agent, where revenue is earned through commissions on trades executed on behalf of clients.
* A. Through commissions: Commissions are earned when acting as an agent, not as a principal.
* B. Through tracers: This term does not apply to revenue generation.
* C. Through brokerage charges: Brokerage charges relate to fees imposed on client accounts, not principal trading spreads.


NEW QUESTION # 34
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. Over-the-counter agent
  • B. Principal
  • C. Clearing agent
  • D. Alternative trading system

Answer: B

Explanation:
When a dealer member fills a client's order for an unlisted security from its own inventory, the dealer is acting as aprincipal.
* A (Alternative trading system)refers to electronic platforms for trading securities.
* B (Clearing agent)involves post-trade settlement activities.
* C (Over-the-counter agent)is incorrect since the dealer is transacting directly.
References:Volume 1, Chapter 9 ("Principal and Agency Transactions").


NEW QUESTION # 35
What is unique to a shortmargin position?

  • A. Margin is discretional for securities with certain price ranges.
  • B. Short seller can suffer unlimited loss if the price of the security rises rather than fails.
  • C. Margin is established when the dealer memberloansmoney to the client.
  • D. There is a timelimit that a short position may be maintained.

Answer: B

Explanation:
A unique risk associated with short selling is the potential for unlimited loss. When a short seller borrows and sells a security in anticipation of its price falling, they must later buy it back to return it to the lender. If the security's price rises instead of falling, there is no theoretical limit to how high the price can go, leading to unlimited losses for the short seller.
This differs from long positions, where the maximum loss is limited to the initial investment amount.
Study Document References:
* Volume 1, Chapter 9:Short Margin Accounts, including the mechanics and risks of short selling.


NEW QUESTION # 36
An investor feels unfairly treatedby a stockbroker regarding a setof transactions. After a discussion of the situation Between the investor and the member, the investor and the member, the investor is still dissatisfied.
What is the best requestthat the investor could make to seek compensation?

  • A. An Independent arbitration.
  • B. A payment from the Canadian investor Protection Fund.
  • C. A rescission of the objectionable trades.
  • D. An investigation by the Ombudsman for Banking Service and investments.

Answer: A

Explanation:
When an investor feels unfairly treated by a stockbroker, and the issue is not resolved through direct discussion with the member firm, the next step often involves pursuing a formal dispute resolution mechanism. The options available in the Canadian securities industry for handling such disputes include:
* Rescission of the objectionable trades:
* This would involve canceling or reversing the trades in question. However, rescission is rarely granted and typically occurs only if there is clear evidence of fraud or legal impropriety. It is not the best initial course of action for dispute resolution.
* Payment from the Canadian Investor Protection Fund (CIPF):
* The CIPF protects clients of member firms in the event of the firm's insolvency, not disputes over trades or treatment by a broker. Therefore, this is not applicable in this case.
* Independent arbitration:
* Arbitration is a widely recognized method of resolving disputes in the securities industry. It involves an independent arbitrator reviewing the case and issuing a binding decision. It is particularly suitable for cases where discussions between the investor and the firm have not resolved the issue.
* Investigation by the Ombudsman for Banking Services and Investments (OBSI):
* OBSI offers a dispute resolution service for clients of financial institutions, including investment dealers. However, OBSI's findings are non-binding, meaning they cannot compel the member firm to act or pay compensation. Arbitration, on the other hand, provides a binding resolution.
Why Arbitration is the Best Option:
Independent arbitration is a more definitive course of action because it results in a binding decision that both the investor and the broker must adhere to. Arbitration is designed to handle precisely the type of disputes described in the question and ensures a fair process overseen by an impartial third party.
References:
* Canadian Securities Course Volume 1:
* Section on Dispute Resolution and Investor Protection: Arbitration is discussed as a key method for resolving disputes where the investor seeks a binding resolution.
* Role of the Canadian Investor Protection Fund: The CIPF is explained as providing coverage for insolvency, not dispute resolution.
* Role of the Ombudsman for Banking Services and Investments (OBSI): OBSI is explained as offering non-binding recommendations, making it less suitable for cases where binding decisions are needed.


NEW QUESTION # 37
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