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CSI Canadian Securities Course Exam 1 Sample Questions:

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

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

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

3. Assume the Government of Canada issues new fixed-incomesecurities with an original term to maturity sixmonthsthat does not pay interest, which type of fixed-income securities were issued?

A) Term deposits
B) Guaranteed bonds
C) Treasury bills
D) Commercial paper

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

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

5. 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) Filling disclosure documents with SEDAR+.
C) Escrowing shares
D) Crowfunding

Solutions: