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CSI Canadian Securities Course Exam 1 Sample Questions:

1. What financial instrument is derived from thevalue of an underlying asset?

A) Preferred share.
B) Real estate investment trust
C) Inflation linked bond
D) Forward contract


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

A) Know Your Client rule.
B) Gatekeeper obligations.
C) Suitability rule
D) Fiduciary duty


3. What actions can a government take to lower a $40billionnational deficit?

A) Increase government spending.
B) Increase interest rates.
C) Decrease taxation
D) Increase taxation


4. Why does thefederalgovernment borrow from the capital markets?

A) To raise capital for streets, servers and waterworks
B) To fund spending In excess of revenues
C) To support The capital markets
D) To support the expansion of corporations


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

A) In the notes to the financial statements
B) In the statement of financial position.
C) In the auditor report
D) In the annual report


Solutions:

Question # 1
Answer: D
Question # 2
Answer: A
Question # 3
Answer: D
Question # 4
Answer: B
Question # 5
Answer: A

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