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CSI CSC1 Lead2pass Review & Valid CSC1 Test Registration

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CSI Canadian Securities Course Exam 1 Sample Questions (Q91-Q96):

NEW QUESTION # 91
Haw are retail stock and bond transactions settledon a daily basis amongdealers?

A. The clearing corporation is responsible for setting an transactions according to each exchange's book of record.
B. The exchange is responsible for settling all transactions according to each exchange's book of record.
C. The exchange is responsible for settling ad transactions according to each dealer's book of record.
D. The clearing corporation is responsible for settling all transactions according to each dealer's book of record.

Answer: D

Explanation:
In Canada, retail stock and bond transactions are settled through aclearing corporation, such as the Canadian Depository for Securities (CDS). The clearing corporation ensures that transactions are accurately settled according to the dealers' records.
* Exchanges facilitate the trading process but are not directly responsible for settling transactions (A, D).
* The clearing corporation settles transactions based on dealer records, not exchange records (B).
References:Volume 1, Chapter 7 ("Clearing and Settlement").

NEW QUESTION # 92
What is the mostcost-effectivechannel an investor can use to Invest in derivativeproducts?

A. A full-service broker
B. An integrated firm
C. A self-director broker
D. An investment boutique

Answer: C

Explanation:
Self-directed brokers are the most cost-effective option for investing in derivatives. They provide a platform for investors to execute trades independently without the additional costs associated with advisory services offered by full-service brokers. Investors are charged lower transaction fees, making this option ideal for cost- conscious individuals who are comfortable making their own investment decisions.
* B. A full-service broker: Full-service brokers charge higher fees because they provide additional advisory and management services.
* C. An integrated firm: Integrated firms offer both retail and institutional services, which generally come with higher fees compared to self-directed platforms.
* D. An investment boutique: Boutique firms typically specialize in niche markets and may have higher service costs, which are not ideal for cost-effective derivatives trading.

NEW QUESTION # 93
What tern describes the requirementof registrants to collectextensive personal and financial Information from individuals before making an investment recommendation?

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

Answer: C

Explanation:
TheKnow Your Client (KYC) rulerequires registrants to gather detailed personal and financial information from clients before providing investment advice or making recommendations. This ensures that investment recommendations align with the client's financial goals, risk tolerance, and circumstances.
* This obligation is critical for ensuring suitability in investment products and maintaining regulatory compliance.
* Suitability rule (A)refers to matching investments to a client's needs but comes after gathering KYC information.
* Gatekeeper obligations (C)focus on preventing illegal activities like money laundering.
* Fiduciary duty (D)applies to acting in the best interest of the client but is broader in scope.
References:Volume 1, Chapter 3 ("Know Your Client Rule").

NEW QUESTION # 94
What is a characteristicof provincial savings bonds that distinguishes them from other provincial bonds?

A. They do not have redemption rules.
B. They can be purchased at any time of the year.
C. Theyare backed by provincial assetspledged an security.
D. They can &e purchased only by residents of the province.

Answer: D

Explanation:
A key characteristic ofprovincial savings bondsis that they can only be purchased by residents of the issuing province. This restriction differentiates them from other provincial bonds, which may be available to investors nationwide or internationally.
Other options:
* Backed by provincial assets pledged as security: All provincial bonds are backed by the credit of the issuing government, not specifically by pledged assets.
* Purchased at any time of the year: Provincial savings bonds are available only during specific sales campaigns.
* Do not have redemption rules: Savings bonds often have specific redemption rules, unlike this statement.
References:
* Volume 1, Chapter 6:Fixed-Income Securities, section on "Provincial and Municipal Bonds" explains the restrictions and features of provincial savings bonds.

NEW QUESTION # 95
What is one key feature of a right?

A. Rights generally have very little time value because they have a short lifespan
B. The market values of rights are set when they ate issued and remain constant until expiration
C. The subscription or offering price or rights is often set at the current market price of the shares.
D. Sharestrade ex-rights beginning one business day before therecord date

Answer: A

Explanation:
Rights are short-term privileges offered to shareholders, allowing them to purchase additional shares at a discounted price before a specified expiration date. Due to their short lifespan, rights typically have limited time value, which decreases as the expiration date approaches.
* Option A:Shares trade ex-rights after the record date.
* Option B:The subscription price is set below the market price, not equal to it.
* Option D:Market values fluctuate based on trading activity and are not constant.

NEW QUESTION # 96
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