CSC1 TEST QUESTION & TOP CSC1 QUESTIONS

CSC1 Test Question & Top CSC1 Questions

CSC1 Test Question & Top CSC1 Questions

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Tags: CSC1 Test Question, Top CSC1 Questions, CSC1 New Soft Simulations, Trustworthy CSC1 Source, New CSC1 Test Sample

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Free PDF Quiz CSI - CSC1 - Pass-Sure Canadian Securities Course Exam 1 Test Question

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CSI Canadian Securities Course Exam 1 Sample Questions (Q76-Q81):

NEW QUESTION # 76
What is margin in an equity transaction?

  • A. interest paid by the client to borrows securities.
  • B. Loan that a dealer extends to a client to buysecurities.
  • C. Amount paid by a client when he uses credit to buy securities
  • D. Good-faith deposit to ensure the client will make future financial obligations

Answer: B

Explanation:
In an equity transaction,marginrefers to the loan that a dealer extends to a client to facilitate the purchase of securities. The client pays a portion of the purchase price (the margin requirement), while the dealer provides the remainder as a loan. This enables clients to leverage their investments and potentially enhance returns, albeit with increased risk.
Other options:
* Amount paid by a client when using credit to buy securities: Describes the margin requirement but does not fully define margin.
* Good-faith deposit to ensure future financial obligations: Refers to initial margin in derivatives trading, not equity transactions.
* Interest paid by the client to borrow securities: Refers to short-selling, not buying on margin.
References:
* Volume 1, Chapter 9:Equity Transactions, section on "Margin Accounts" explains the mechanics of margin trading and loans.


NEW QUESTION # 77
What is unique to responsible investment?

  • A. ESG factors are standardized across the investment no industry.
  • B. A combination of a values and valuation-based approach to investing
  • C. It is unavailable with certain asset classes like segregated fundi
  • D. It bases investment decisions exclusively on environmental factors.

Answer: C

Explanation:
Responsible investing (RI) incorporatesenvironmental, social, and governance (ESG) factorsinto investment decisions.
This approach combinesvalues-basedinvesting (aligning investments with personal or institutional ethics) andvaluation-basedinvesting (analyzing ESG factors to assess potential risks and returns).
Why Other Options are Incorrect:A. It is unavailable with certain asset classes like segregated funds: RI is increasingly available across various asset classes, including segregated funds.
B). ESG factors are standardized across the investment industry: ESG standards vary and are not uniformly applied.
C). It bases investment decisions exclusively on environmental factors: RI considers environmental, social, and governance factors, not just environmental concerns.


NEW QUESTION # 78
When sharesof GHI Inc. (GHI) traded at S50. aninvestor wrote five "GHI December 45" puts for a premium of $1,20. How much cash must the investor have in their account to be a cash-secured out writer?

  • A. $24,400
  • B. $25, 000
  • C. $21,900
  • D. $22,500

Answer: C

Explanation:
The investor wrote 5 put options ("GHI December 45") at a strike price of $45 with 100 shares per contract (5
× 100 = 500 shares). The cash-secured amount ensures the writer can cover the purchase if exercised:
* Obligation Amount:500 shares × $45 = $22,500.
* Premium Received:$1.20 × 500 = $600.
* Net Cash Requirement:$22,500 - $600 =$21,900.
This ensures the investor has enough funds to purchase the shares if the put options are exercised.


NEW QUESTION # 79
Which derivatives transactionhas the greatest default risk?

  • A. Individual investor buying shares on an exchange during the ex-rights period.
  • B. Individual investor entering future contract with an institutional investor.
  • C. Exchange-traded equity option contract between an individual investor and a dealer.
  • D. Interest rate forward agreement between an investment dealer and a corporation.

Answer: D

Explanation:
Aninterest rate forward agreement (FRA)is anover-the-counter (OTC)derivative contract. Unlike exchange- traded derivatives, OTC contracts are not centrally cleared, meaning there is no intermediary to guarantee performance. This increases counterparty (default) risk, making FRAs inherently riskier than exchange-traded contracts.
* A. Individual investor buying shares on an exchange during the ex-rights period: This is a standard transaction involving equity securities, not derivatives, and carries no default risk.
* C. Exchange-traded equity option contract between an individual investor and a dealer: Exchange- traded derivatives are backed by a clearinghouse, which mitigates default risk.
* D. Individual investor entering a futures contract with an institutional investor: Futures contracts are also exchange-traded and centrally cleared, reducing default risk.


NEW QUESTION # 80
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 both ABC inc. and XYZ Company stock.
  • B. Report her trading activity involving ABC Inc. stock and Issue a press re-case reporting tne holdings in XYZ Company.
  • C. Report her trading activity involving XYZ Company stock only.
  • D. Report her trading activity Involving ABC Inc. stock only.

Answer: A

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 # 81
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