CSI Canadian Securities Course Exam 1 Sample Questions:
1. Where docs primary responsibility for gatekeeping inthe securities industry reside?
A) With the market surveillance Division of CIRO.
B) With the CIRO dealer members and all Their employees
C) With the provincial securities regulators.
D) With OS FI
2. 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) First mortgage bonds equipment trust certificates, commercial paper.
B) Commercial paper fast mortgage bonds, equipment "trust certificates
C) Equipment trust certificates, first mortgage bonds, commercial paper.
D) Firm mortgage bonds commercial paper, equipment trust certificates.
3. Which bend is the most volatile, assuming the same coupon rate and creditquality?
A) Five-year bond with four years to maturity.
B) Ten-year bond with three years to maturity.
C) Seven-yearbond with one year to maturity.
D) Six-year bond with two years to maturity
4. Which trend affecting the financialservices industry has resulted inthe significant use ETFs?
A) The popularity of robo-advisors
B) The emergence of cryptocurrency
C) The shift towardsdefined contribution plans
D) The rise of financialtechnology companies
5. Whataction is anexchange likely to take when the publicdistribution of a given securityhas dwindled to anunacceptablylow level?
A) Delisting
B) Delayed opening
C) Hall in trading.
D) Suspension in trading
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: C | Question # 3 Answer: B | Question # 4 Answer: C | Question # 5 Answer: A |

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