CSC1試験無料問題集（100題）「CSI Canadian Securities Course Exam 1 認定」

出題：1

Which statutory right allowsa purchaser to caned their order if a prospectus has a misrepresentation?

A. Right of action for damages

B. Right of rescission.

C. Right of withdrawal.

D. Right of amended prospectus delivery

正解：B 解答を投票する

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出題：2

Which type of bond allows the issuer to redeem at a specified premium prior to maturity?

A. Acronyms

B. Retractable

C. Callable

D. Extendible

E. Convertible

正解：C 解答を投票する

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出題：3

What is a characteristicof provincial savings bonds that distinguishes them from other provincial bonds?

A. They can be purchased at any time of the year.

B. They do not have redemption rules.

C. They can &e purchased only by residents of the province.

D. Theyare backed by provincial assetspledged an security.

正解：C 解答を投票する

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出題：4

ABT Ltd. is currently trading at $65. An investor buys five ABT July 55 put options for $2each. Ignoring commissions, what price must ABT Ltd. common shares trade at for theinvestor to break even on her put options?

A. $63

B. $53

C. $55

D. $57

正解：B 解答を投票する

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出題：5

Which bend is the most volatile, assuming the same coupon rate and creditquality?

A. Ten-year bond with three years to maturity.

B. Five-year bond with four years to maturity.

C. Six-year bond with two years to maturity

D. Seven-yearbond with one year to maturity.

正解：A 解答を投票する

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出題：6

What tern describes the requirementof registrants to collectextensive personal and financial Information from individuals before making an investment recommendation?

A. Suitability rule

B. Fiduciary duty

C. Know Your Client rule.

D. Gatekeeper obligations.

正解：C 解答を投票する

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出題：7

Keith has a $150,000 term deposit with ABC Trust Company and a $75.000 term depositwithXYZ Trust Company. Both term deposits nave a maturity date of four years and both trust companies are member institutions of the CDIC. How much is Keith cowered for under COIC if both trust companies become insolvent?

A. $100,000.

B. $200,000

C. $225,000

D. $175,000

正解：B 解答を投票する

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出題：8

When a futures contract is entered into, who sets the minimum initial margin rate?

A. investment dealer

B. Buyer

C. Exchange

D. Seller

正解：C 解答を投票する

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出題：9

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

A. In the annual report

B. In the notes to the financial statements

C. In the auditor report

D. In the statement of financial position.

正解：B 解答を投票する

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出題：10

Why wouldacorporation choose to issue preferred shares rather than debt?

A. Existing assets have excess financing capacity to justify the issue of preferred shares.

B. issuing preferred shares would reduce the amount of leverage.

C. The preferred dividend rate usually varies with the market interest rates

D. The costs for issuing preferred shares are usually kwh than debt.

正解：B 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

CSC1試験無料問題集「CSI Canadian Securities Course Exam 1 認定」