VALID CSC1 TEST QUESTION & CSI REAL CSC1 DUMPS: CANADIAN SECURITIES COURSE EXAM 1 PASS CERTAINLY

Valid CSC1 Test Question & CSI Real CSC1 Dumps: Canadian Securities Course Exam 1 Pass Certainly

Valid CSC1 Test Question & CSI Real CSC1 Dumps: Canadian Securities Course Exam 1 Pass Certainly

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CSI Canadian Securities Course Exam 1 Sample Questions (Q46-Q51):

NEW QUESTION # 46
When acting as a principal, how do investment dealers generate revenue?

  • A. Through brokerage changes.
  • B. Through commissions
  • C. Thrown tracers.
  • D. Through spreads on buy/sell prices.

Answer: D

Explanation:
When acting as aprincipal, investment dealers buy and sell securities for their own account. They generate revenue by earning aspread, which is the difference between the price at which they buy securities (bid price) and the price at which they sell them (ask price). This is distinct from their role as an agent, where revenue is earned through commissions on trades executed on behalf of clients.
* A. Through commissions: Commissions are earned when acting as an agent, not as a principal.
* B. Through tracers: This term does not apply to revenue generation.
* C. Through brokerage charges: Brokerage charges relate to fees imposed on client accounts, not principal trading spreads.


NEW QUESTION # 47
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. $55
  • B. $63
  • C. $53
  • D. $57

Answer: C

Explanation:
To calculate the break-even price for the put options:
* The strike price of the put is $55.
* The cost per put option is $2.
* For the investor to break even, the stock must fall below the strike price by at least the cost of the option.
Break-even price = Strike price - Cost of the option= $55 - $2 =$53
If ABT Ltd. trades at $53, the investor can sell the stock at $55 using the put and recover the $2 premium paid.
References:
* Volume 1, Chapter 10:Derivatives, section on "Options Basics" explains the calculation of break-even prices for options.


NEW QUESTION # 48
What Is the requirementestablished by the Canadian Radio-television and Telecommunications Commission that applies to an advisor who is cold calling potential new clients?

  • A. An advisor must advise DNCL registrants within the first minute that it is a sales call
  • B. An advisor must not can any person who has been a DNCL registrant for more than one day
  • C. An advisor must make sales calls only during regular business hours
  • D. An advisor must subscribe to the National Do Not car List (DNCL)

Answer: D

Explanation:
Advisors making cold calls to potential clients must comply with the Canadian Radio-television and Telecommunications Commission's (CRTC) regulations, which include subscribing to the National Do Not Call List (DNCL). This ensures they do not call individuals registered on the DNCL, protecting consumers from unwanted solicitations.
References:
* Volume 1, Chapter 3:The Canadian Regulatory Environment, section on "Ethical and Legal Standards" includes compliance requirements related to cold calling, such as the DNCL regulations.


NEW QUESTION # 49
What is the normal shape of a yield curve?

  • A. Upward slops
  • B. Humped
  • C. Downward slope
  • D. inverted

Answer: A

Explanation:
The normal shape of a yield curve is anupward slope, indicating that longer-term bonds offer higher yields than shorter-term bonds. This reflects the additional risk and time value of money associated with longer maturities.
* A. Downward slope: This could describe a yield curve during unusual circumstances, such as a period of market uncertainty or deflation.
* B. Inverted: An inverted yield curve, where shorter-term yields exceed longer-term yields, is a rare occurrence and often signals economic recession.
* D. Humped: A humped curve is rare and occurs when intermediate-term yields exceed both short-term and long-term yields.


NEW QUESTION # 50
Billy owns shares of 143 Financing inc, in a discretionary account. He wants to exercise his right to vote at the company's annual general meeting, but will be away on a business trip. Who can vote on Billay's behalf?

  • A. His Investment advisor who has discretionary Investment duties
  • B. Only by Billy
  • C. His dealer as long as there is a signed consent on file
  • D. Any person whom he has designated Through a proxy

Answer: D

Explanation:
A shareholder can exercise their voting rights at an annual general meeting either in person or by designating another person to act on their behalf through a proxy. A proxy is a legal document where the shareholder appoints someone else to vote on their behalf. This is critical forshareholders who cannot attend the meeting themselves, as it ensures their voting power is not lost.


NEW QUESTION # 51
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