FREE PDF UPDATED CSC1 - CANADIAN SECURITIES COURSE EXAM 1 PRACTICE EXAM FEE

Free PDF Updated CSC1 - Canadian Securities Course Exam 1 Practice Exam Fee

Free PDF Updated CSC1 - Canadian Securities Course Exam 1 Practice Exam Fee

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CSI Canadian Securities Course Exam 1 Sample Questions (Q49-Q54):

NEW QUESTION # 49
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 XYZ Company stock only.
  • B. Report her trading activity Involving both ABC inc. and XYZ Company stock.
  • C. Report her trading activity involving ABC Inc. stock and Issue a press re-case reporting tne holdings in XYZ Company.
  • D. Report her trading activity Involving ABC Inc. stock only.

Answer: B

Explanation:
As a senior executive at ABC Inc. and a board member of XYZ Company, Diana is considered an insider for both firms. Insiders are required to report any trading activity in securities of companies where they hold positions of influence. This ensures transparency and helps prevent insider trading.
* Option A:Press releases are not required for insider reporting.
* Option B:Incorrect; obligations apply to both companies.
* Option D:Incorrect; Diana's role at XYZ Company also imposes reporting requirements.


NEW QUESTION # 50
What bestdescribes the liability of limited partners in a limited partnership?

  • A. They are liable only to the extent of the daily business activities they participate in.
  • B. Their liability is limited to their investment
  • C. They are not liable for debts and losses incurred in business operations.
  • D. Their liability includes personal assets.

Answer: B

Explanation:
In a limited partnership, the liability of limited partners is strictly limited to the amount of their investment in the partnership. They do not participate in the day-to-day management or operational decision-making of the partnership. This characteristic ensures that their personal assets are protected beyond their contribution to the partnership.
If limited partners were to engage in the management of the partnership, they could potentially lose their limited liability protection and be treated as general partners, exposing their personal assets to liability.
This concept is foundational in business structures like limited partnerships, allowing investors to contribute capital without risking their personal wealth beyond the agreed investment.
Study Document References:
* Volume 1, Section on Corporations and Financial Structures:This section discusses different forms of business organizations, including partnerships, and highlights the limited liability of investors in structures like limited partnerships.


NEW QUESTION # 51
Which exchange trades all financial andequity futures and options listed for trading in Canada?

  • A. Toronto Stock Exchange
  • B. Montreal Exchange
  • C. Canadian Securities Exchange
  • D. ICE NGX Canada

Answer: B

Explanation:
TheMontreal Exchange (MX)is the sole Canadian exchange that lists and trades all financial and equity futures and options. It is a derivatives exchange specializing in these products and is part of the TMX Group.
* A. ICE NGX Canada: This platform focuses on energy products like natural gas and electricity, not equity futures or options.
* B. Canadian Securities Exchange: This exchange supports small-cap stocks but does not deal with derivatives.
* D. Toronto Stock Exchange: This exchange lists equities and some other securities but does not specialize in trading futures or options.


NEW QUESTION # 52
A private company is working with an advisory firm To apply for a listing on a public exchange.
The management is concerned with the additional costs for the company Incurred by the listing and ongoing annual fees. What should management consider with regard to the costs and benefits of public listing?

  • A. Listing the company will require restrictions on stock options Issued for Internal use
  • B. Management will benefit from the public disclosure of changes in the company.
  • C. The valuation of securities for estate tax purposes and estate tax punning will be easier
  • D. Listing the company win attract new shareholders and increase the ability to raise capital.

Answer: D

Explanation:
Listing on a public exchange provides companies with access to a broader pool of potential investors. This increased visibility enhances the ability to raise capital through the issuance of shares or bonds. Although there are additional costs associated with being publicly listed (such as listing fees and compliance costs), the benefits of access to new sources of funding and improved liquidity for shares often outweigh these concerns.
* A. Management will benefit from the public disclosure of changes in the company: Public disclosure does not directly benefit management but is a requirement for transparency.
* C. Listing the company will require restrictions on stock options issued for internal use: While stock option plans may be regulated, this is not a primary consideration for listing.
* D. The valuation of securities for estate tax purposes and estate tax planning will be easier: While public listing improves transparency, estate tax considerations are not a primary driver of listing decisions.


NEW QUESTION # 53
On what basis are government securities awarded atthe auction average yield?

  • A. Dealer market system
  • B. Open market
  • C. Non-competitive lender.
  • D. Schedule III banks

Answer: C

Explanation:
Government securities are awarded at auction using both competitive and non-competitive bidding. In a non- competitive bid, the participants (such as smaller investors or institutions) agree to accept the average yield determined by the competitive bidding process. This mechanism ensures equitable access to government securities without the need to compete directly on yield, promoting broad participation in the market.


NEW QUESTION # 54
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