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Updated: Sep 25, 2026

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CSI CSC1 Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Features and Types of Fixed-Income Securities12%- Fixed-Income Instruments
  • 1. Corporate Bonds
  • 2. Government Bonds
  • 3. Yield and Risk
Topic 2: Equity Transactions10%- Trading Equities
  • 1. Margin Trading
  • 2. Settlement Procedures
  • 3. Order Types
Topic 3: Common and Preferred Shares13%- Equity Securities
  • 1. Shareholder Rights
  • 2. Common Shares
  • 3. Preferred Shares
Topic 4: Pricing and Trading of Fixed-Income Securities11%- Bond Markets
  • 1. Trading Practices
  • 2. Yield Calculations
  • 3. Bond Pricing
Topic 5: Financing and Listing Securities8%- Security Issuance
  • 1. Listing Requirements
  • 2. Private Placements
  • 3. Public Offerings
Topic 6: Derivatives10%- Derivative Instruments
  • 1. Options
  • 2. Hedging Strategies
  • 3. Futures
Topic 7: The Economy13%- Macroeconomic Fundamentals
  • 1. Inflation
  • 2. Economic Cycles
  • 3. Monetary Policy
  • 4. Fiscal Policy
Topic 8: The Canadian Investment Marketplace15%- Canadian Securities Industry
  • 1. Investment Dealer's Role as a Financial Intermediary
  • 2. Trends in the Market
  • 3. Other Financial Intermediaries
  • 4. Overview of the Industry
- Capital Markets
  • 1. Capital
  • 2. Markets
  • 3. Products
- Canadian Regulatory Environment
  • 1. Regulators
  • 2. Regulation and Supervision
  • 3. Ethics
Topic 9: Corporations and their Financial Statements8%- Financial Statement Analysis
  • 1. Cash Flow Statement
  • 2. Balance Sheet
  • 3. Income Statement

CSI Canadian Securities Course Exam 1 Sample Questions:

Question #1

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 ABC Inc. stock and Issue a press re-case reporting tne holdings in XYZ Company.
  • B. Report her trading activity involving XYZ Company stock only.
  • C. Report her trading activity Involving both ABC inc. and XYZ Company stock.
  • D. Report her trading activity Involving ABC Inc. stock only.
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Correct Answer: C  🗳️

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Question #2

How do high interest rates affect the economy?

  • A. They reduce business investment.
  • B. They accelerate debt pay offs
  • C. They decrease the value of the Canadian dollar.
  • D. They increase prices
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Correct Answer: A  🗳️

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Question #3

What bestdescribes the liability of limited partners in a limited partnership?

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

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Question #4

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?

  • A. The shareholder exchanges the rate-reset preferred share for a fixed-rate preferred share.
  • B. The shareholder exchanges the rate-reset preferredshare for an unsecured bond
  • C. The shareholder exchanges the rate-reset preferredshare for a specified number ofcommon shares.
  • D. The shareholder exchanges the rate-reset preferred share for afloating-rate preferred share
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Correct Answer: D  🗳️

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Question #5

What is the mostcost-effectivechannel an investor can use to Invest in derivativeproducts?

  • A. A full-service broker
  • B. An investment boutique
  • C. A self-director broker
  • D. An integrated firm
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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