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CSI Canadian Securities Course Exam 1 Sample Questions:
1. When acting as a principal, how do investment dealers generate revenue?
A) Thrown tracers.
B) Through commissions
C) Through brokerage changes.
D) Through spreads on buy/sell prices.
2. What is one at the advantages for the company when shares are publicly listed?
A) Shareholders goodwill
B) Additional disclosure.
C) Additional controls on management
D) Need to keep market participants informed.
3. What is the difference between sinking funds and purchase funds concerning the redemption of bonds poor to maturity?
A) Sinking funds involve the issuer determining when bonds are redeemed while purchase funds Involve the investor determining when the bonds are redeemed.
B) Sinking funds have mandated redemptions while purchase funds can redeem only upon certain market conditions.
C) Sinking funds can redeem fie bones any time while purchase funds follow a prearranged schedule.
D) Sinking funds can redeem bonds only if they trade below a stipulated price while purchase runes do not have such a requirement.
4. What is a characteristicof provincial savings bonds that distinguishes them from other provincial bonds?
A) They can be purchased at any time of the year.
B) They can &e purchased only by residents of the province.
C) They do not have redemption rules.
D) Theyare backed by provincial assetspledged an security.
5. What is the portion of annual profit held by a company after the payment expenses and the distribution of dividends?
A) Gross profit
B) Share capital.
C) Comprehensive income.
D) Retained earnings
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: D |
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