Canadian Securities Course Exam 1
Last Update Oct 2, 2025
Total Questions : 100
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A large corporation has issued the following securities:commercialpaper, first mortgage bonds, and equipment trust certificates Which ranging of the securities is correctly seated from most secure to teas: secure?
Which exchange trades all financial andequity futures and options listed for trading in Canada?
What is the likely outcome attheend of a five-year term of a rate-reset preferred share if the issuer does not redeem the shares?
When a futures contract is entered into, who sets the minimum initial margin rate?
What obligation dues an IA have when communicating informationabout a preliminary prospectus to prospectiveinvestors?
The consumerprice index was 125.9 in Decemberoflast year and 123.0 in December ofthe year before What was the inflation rate last year?
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?
Anwar is placing a market order to purchase 100 shares of AJLwhen the bid/ask is $10.25."$ 10.75. Before the trade is complete, the bid/ask moves to $10.207S1Q70. Whatis the share pricethat Anwar will pay on the purchase transaction?
What type of unemployment is caused by normal labour turnover such as completing school or changing employment?
Which trend affecting the financialservices industry has resulted inthe significant use ETFs?
Whataction is anexchange likely to take when the publicdistribution of a given securityhas dwindled to anunacceptablylow level?
Which condition must exist for a company to issue a short Form prospectus?
TDF Dealer's liability desk purchases 5,000 shares of a stock with a market order at $15 bid, $15.20 ask. The desk later sells the shares with a market order at $15.25 bid, $15.40 ask. What is TDP Dealer's gain on the trades?
What bond should an advisorrecommend to someone who wants to hold bonds and maximize potential cap-tai gams when interest rates are expected to fall?
What is a company likely trying -c achieve when ituses a stock spit as part of itscorporate strategy?
What is one at the advantages for the company when shares are publicly listed?
What is the action that the CentralBank takes to limitthe impact of increased foreign Interestrates on Interest rates in Canada?
When a company issues a number of common shares, some of which areheld by institutional investors, what are the institutional investors' shares known as?
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?
What is unique to responsible investment?
It is unavailable with certain asset classes like segregated fundi
B. ESG factors are standardized across the investment no industry.
C. A combination of a values and valuation-based approach to investing
D. It bases investment decisions exclusively on environmental factors.
What will happen ita country's central government is at risk of defaulting on its debt?
What is the best long-term strategy for themunicipality to improve Us credit rating?
TESTED 02 Oct 2025
