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

質問 1

Diana was appointed a senior vice president of the ABC inc. She is also a member of the board of XYZ Company where ABC inc, is a % stockholder. What best describes Diana's insider reporting obligations to the regulator?

（A）Report her trading activity Involving ABC Inc. stock only.

（B）Report her trading activity Involving both ABC inc. and XYZ Company stock.

（C）Report her trading activity involving XYZ Company stock only.

（D）Report her trading activity involving ABC Inc. stock and Issue a press re-case reporting tne holdings in XYZ Company.

正解：B 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 2

Which group is generally considered aprimary derivative dealer in the over-the-counter markets?

（A）Chartered banks.

（B）Professional individual investors.

（C）insurance companies.

（D）Commodity exporters.

正解：A 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 3

An investor feels unfairly treatedby a stockbroker regarding a setof transactions. After a discussion of the situation Between the investor and the member, the investor and the member, the investor is still dissatisfied.
What is the best requestthat the investor could make to seek compensation?

（A）A rescission of the objectionable trades.

（B）An Independent arbitration.

（C）A payment from the Canadian investor Protection Fund.

（D）An investigation by the Ombudsman for Banking Service and investments.

正解：B 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 4

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）offering a greenshee option

（B）Escrowing shares

（C）Crowfunding

（D）Filling disclosure documents with SEDAR+.

正解：C 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 5

Which preferredshare pays a fixed dividend rate based on the yield to maturity on the five-year benchmark Government at Canada bond?

（A）Rate-reset preferred share.

（B）Fixed-rate perpetual preferred share.

（C）Floating-rate preferred share.

（D）Flexed/floating preferred share.

正解：A 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 6

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

（A）Callable

（B）Retractable

（C）Acronyms

（D）Convertible

（E）Extendible

正解：A 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 7

How do high interest rates affect the economy?

（A）They increase prices

（B）They reduce business investment.

（C）They accelerate debt pay offs

（D）They decrease the value of the Canadian dollar.

正解：B 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 8

What is the settlement date for Government of Canada bones?

（A）same day me transaction takes place.

（B）One business day after the transaction

（C）Two business days after the transaction

（D）Three business days after the transaction.

正解：B 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 9

Haw are retail stock and bond transactions settledon a daily basis amongdealers?

（A）The clearing corporation is responsible for settling all transactions according to each dealer's book of record.

（B）The clearing corporation is responsible for setting an transactions according to each exchange's book of record.

（C）The exchange is responsible for settling all transactions according to each exchange's book of record.

（D）The exchange is responsible for settling ad transactions according to each dealer's book of record.

正解：A 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

質問 10

What is unique to responsible investment?

（A）ESG factors are standardized across the investment no industry.

（B）It bases investment decisions exclusively on environmental factors.

（C）It is unavailable with certain asset classes like segregated fundi

（D）A combination of a values and valuation-based approach to investing

正解：C 解答を投票する

解説: (JPNTest メンバーにのみ表示されます)

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

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