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CSC1 pdf
  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Updated: Aug 11, 2026
  • Q & A: 100 Questions and Answers
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  • Exam Code: CSC1
  • Exam Name: Canadian Securities Course Exam 1
  • Updated: Aug 11, 2026
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  • Exam Code: CSC1
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CSI CSC1 Exam Syllabus Topics:

SectionWeightObjectives
Common and Preferred Shares13%- Equity Securities
  • 1. Common Shares
  • 2. Preferred Shares
  • 3. Shareholder Rights
Corporations and their Financial Statements8%- Financial Statement Analysis
  • 1. Balance Sheet
  • 2. Cash Flow Statement
  • 3. Income Statement
Derivatives10%- Derivative Instruments
  • 1. Options
  • 2. Hedging Strategies
  • 3. Futures
Features and Types of Fixed-Income Securities12%- Fixed-Income Instruments
  • 1. Government Bonds
  • 2. Yield and Risk
  • 3. Corporate Bonds
Pricing and Trading of Fixed-Income Securities11%- Bond Markets
  • 1. Trading Practices
  • 2. Yield Calculations
  • 3. Bond Pricing
The Canadian Investment Marketplace15%- Canadian Securities Industry
  • 1. Investment Dealer's Role as a Financial Intermediary
  • 2. Trends in the Market
  • 3. Overview of the Industry
  • 4. Other Financial Intermediaries
- Capital Markets
  • 1. Products
  • 2. Capital
  • 3. Markets
- Canadian Regulatory Environment
  • 1. Ethics
  • 2. Regulators
  • 3. Regulation and Supervision
Equity Transactions10%- Trading Equities
  • 1. Settlement Procedures
  • 2. Margin Trading
  • 3. Order Types
Financing and Listing Securities8%- Security Issuance
  • 1. Private Placements
  • 2. Listing Requirements
  • 3. Public Offerings
The Economy13%- Macroeconomic Fundamentals
  • 1. Fiscal Policy
  • 2. Inflation
  • 3. Economic Cycles
  • 4. Monetary Policy

CSI Canadian Securities Course Exam 1 Sample Questions:

1. Which group is generally considered aprimary derivative dealer in the over-the-counter markets?

A) Commodity exporters.
B) Professional individual investors.
C) insurance companies.
D) Chartered banks.


2. Where would the description da company's fixed assets normallybe found?

A) In the notes to the financial statements
B) In the annual report
C) In the auditor report
D) In the statement of financial position.


3. 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.


4. According to the Bankof Canada, approximately how many months does ittake for the effect of changes in monetary policy to be feltthrough the whole economy?

A) 6
B) 36
C) 18
D) 3


5. The consumerprice index was 125.9 in Decemberoflast year and 123.0 in December ofthe year before What was the inflation rate last year?

A) 2.30%
B) 0.98%
C) 1.02%
D) 2.36%


Solutions:

Question # 1
Answer: D
Question # 2
Answer: A
Question # 3
Answer: B
Question # 4
Answer: C
Question # 5
Answer: D

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