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CSI Canadian Securities Course Exam 1 Sample Questions:
1. 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) Equipment trust certificates, first mortgage bonds, commercial paper.
B) Commercial paper fast mortgage bonds, equipment "trust certificates
C) First mortgage bonds equipment trust certificates, commercial paper.
D) Firm mortgage bonds commercial paper, equipment trust certificates.
2. Where docs primary responsibility for gatekeeping inthe securities industry reside?
A) With the provincial securities regulators.
B) With the CIRO dealer members and all Their employees
C) With OS FI
D) With the market surveillance Division of CIRO.
3. What is a characteristic of the FTSE Canada Universe Bond index?
A) US dollar bonds from Canadian issuers are included
B) It is a capitalization-weighted index.
C) Only government bonds ate included
D) Only bonds with a term to mammy of 30 days or more are eligible for inclusion.
4. Using the Moody's long-term rating scale, which rating is best suited for an obligation that is not yetin default, out is considered speculative andsubject to very high credit risk?
A) C
B) Caa
C) Ba
D) B
5. When a company issues a number of common shares, some of which areheld by institutional investors, what are the institutional investors' shares known as?
A) Market capitalization shares.
B) Public float shares.
C) issued shares
D) Outstanding shares.
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: B | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: B |



