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CSI CSC1 Real Exam Questions | CSC1 Valid Exam Discount

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Pass4sure Canadian Securities Course Exam 1 certification - CSI CSC1 sure exam practice

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CSI Canadian Securities Course Exam 1 Sample Questions (Q16-Q21):

NEW QUESTION # 16
What is the likely outcome attheend of a five-year term of a rate-reset preferred share if the issuer does not redeem the shares?

A. The shareholder exchanges the rate-reset preferred share for afloating-rate preferred share
B. The shareholder exchanges the rate-reset preferredshare for an unsecured bond
C. The shareholder exchanges the rate-reset preferred share for a fixed-rate preferred share.
D. The shareholder exchanges the rate-reset preferredshare for a specified number ofcommon shares.

Answer: A

Explanation:
At the end of the five-year term, if the issuer does not redeem the rate-reset preferred shares, the shareholder can choose to:
* Continue holding the shares at the reset fixed rate.
* Convert them intofloating-rate preferred shareswith rates tied to a benchmark (e.g., prime or LIBOR).
This conversion offers flexibility to the shareholder based on market conditions.
* A. Exchange for a specified number of common shares: Rate-reset preferred shares do not have this feature.
* B. Exchange for a fixed-rate preferred share: The fixed-rate component is reset, not exchanged.
* C. Exchange for an unsecured bond: This is not a feature of rate-reset preferred shares.

NEW QUESTION # 17
What is one at the advantages for the company when shares are publicly listed?

A. Additional controls on management
B. Shareholders goodwill
C. Additional disclosure.
D. Need to keep market participants informed.

Answer: B

Explanation:
One advantage of public listing is the goodwill generated among shareholders. Public listing enhances the company's visibility, credibility, and reputation, which can attract investors, customers, and business partners.
This goodwill often facilitates access to capital and strengthens the company's market presence.
Study Document References:
* Volume 1, Chapter 12:Advantages of Public Listing, outlining benefits such as goodwill and increased capital access.

NEW QUESTION # 18
What action must an investment advisor take when submitting a trade ticket for a short sale?

A. Verify the client canborrow the shares.
B. Mark it as a margin order
C. Mark the sell-order ticket as a short sate
D. Obtain minimum margin amount from client

Answer: C

Explanation:
When submitting a trade ticket for a short sale, an investment advisor mustmark the sell-order ticket as a short sale. This ensures compliance with regulatory requirements and informs the broker and exchange that the sale involves borrowed shares. Marking the order appropriately helps maintain transparency and enables monitoring for potential market manipulation.
* A. Verify the client can borrow the shares: The responsibility for ensuring share availability lies with the broker, not the advisor.
* C. Obtain minimum margin amount from client: This is done separately as part of the account setup and transaction process, not when submitting the trade ticket.
* D. Mark it as a margin order: Short sales involve margin, but the ticket must specifically indicate "short sale" rather than just "margin."

NEW QUESTION # 19
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. Filling disclosure documents with SEDAR+.
B. Crowfunding
C. offering a greenshee option
D. Escrowing shares

Answer: B

Explanation:
For an emerging company with limited assets and innovative goals,crowdfundingis an excellent option to maximize public exposure and raise capital. Crowdfunding involves soliciting small investments from a large number of people, typically through online platforms, making it ideal for startups or innovative ventures like the use of hot water springs for clean energy.
Other options:
* Escrowing shares: Typically used to restrict the sale of shares for a certain period, not for raising capital.
* Offering a greenshoe option: Applies to stabilizing stock prices in an IPO or follow-on offering, not raising initial capital.
* Filing disclosure documents with SEDAR+: Necessary for public companies but does not directly raise capital or increase exposure.
References:
* Volume 1, Chapter 12:Financing and Listing Securities, section on "Capital Raising Options" covers crowdfunding as a method for startups to raise funds.

NEW QUESTION # 20
Where docs primary responsibility for gatekeeping inthe securities industry reside?

A. With OS FI
B. With the market surveillance Division of CIRO.
C. With the CIRO dealer members and all Their employees
D. With the provincial securities regulators.

Answer: C

Explanation:
The primary responsibility for gatekeeping in the securities industry resides with CIRO (Canadian Investment Regulatory Organization) dealer members and their employees. This gatekeeping role includes adhering to regulations, implementing Know Your Client (KYC) and Know Your Product (KYP) rules, and ensuring compliance with ethical standards and client-focused reforms.
Dealer members and their employees must ensure that the products and services offered are suitable for their clients and that any potential conflicts of interest are managed appropriately.
Study Document References:
* Volume 1, Chapter 3:The Gatekeeper Role in Securities Regulation, focusing on the responsibilities of CIRO dealer members.

NEW QUESTION # 21
......

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