CSC1 EXAMCOLLECTION VCE, RELIABLE CSC1 EXAM QUESTIONS

CSC1 Examcollection Vce, Reliable CSC1 Exam Questions

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CSI Canadian Securities Course Exam 1 Sample Questions (Q89-Q94):

NEW QUESTION # 89
Which condition must exist for a company to issue a short Form prospectus?

  • A. The offering is for the purpose of financing a material change in the issuer's business
  • B. it is exclusively a reporting issuer in foreign Jurisdictions.
  • C. Its principal asset is cash or cash equivalents, or exchange listing
  • D. it already has securities listed and posted for tracing or quoted on an eligible exchange

Answer: D

Explanation:
Ashort form prospectusis a streamlined disclosure document that companies can use to raise funds more efficiently under specific conditions. The issuer must meet specific eligibility criteria outlined in Canadian securities regulations to qualify for filing a short form prospectus.
Key Conditions for Filing a Short Form Prospectus:
* Listed Securities Requirement: The company must have its securities listed and actively traded on an eligible stock exchange (e.g., TSX or another recognized exchange). This requirement ensures that the company already complies with reporting obligations and has a history of providing transparent information to investors.
* Continuous Disclosure History: The company must be a reporting issuer in one or more Canadian jurisdictions for at least 12 months, providing continuous disclosure (e.g., financial statements, material changes).
* No Principal Asset Restriction: The company must not primarily rely on cash or cash equivalents as its principal asset, as this does not provide a sufficient operational track record.
* Domestic Reporting Requirement: The company must not rely solely on foreign jurisdiction reporting; it must fulfill Canadian reporting requirements.
Review of Options:
* Option A:Incorrect. While the prospectus may be used for financing purposes, it is not a condition specific to the short form prospectus.
* Option B:Correct. A company must have securities listed and actively traded on an eligible exchange to use the short form prospectus.
* Option C:Incorrect. Companies whose principal assets are cash or cash equivalents are typically not eligible for a short form prospectus.
* Option D:Incorrect. The company must not exclusively be a reporting issuer in foreign jurisdictions; it must comply with Canadian reporting requirements.
References:
* Canadian Securities Course (CSC), Volume 1, Chapter 12: Financing and Listing Securities.
Discussion on eligibility for short form prospectus filings and reporting issuer status.
* National Instrument 44-101: Short Form Prospectus Distributions.


NEW QUESTION # 90
What is the role thatthe dealer memberis taking when a client's order for an unlisted security is filled directly from inventory rather than on the exchange?

  • A. Clearing agent
  • B. Principal
  • C. Alternative trading system
  • D. Over-the-counter agent

Answer: B

Explanation:
When a dealer member fills a client's order for an unlisted security from its own inventory, the dealer is acting as aprincipal.
* A (Alternative trading system)refers to electronic platforms for trading securities.
* B (Clearing agent)involves post-trade settlement activities.
* C (Over-the-counter agent)is incorrect since the dealer is transacting directly.
References:Volume 1, Chapter 9 ("Principal and Agency Transactions").


NEW QUESTION # 91
What is the mostcost-effectivechannel an investor can use to Invest in derivativeproducts?

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

Answer: C

Explanation:
Self-directed brokers are the most cost-effective option for investing in derivatives. They provide a platform for investors to execute trades independently without the additional costs associated with advisory services offered by full-service brokers. Investors are charged lower transaction fees, making this option ideal for cost- conscious individuals who are comfortable making their own investment decisions.
* B. A full-service broker: Full-service brokers charge higher fees because they provide additional advisory and management services.
* C. An integrated firm: Integrated firms offer both retail and institutional services, which generally come with higher fees compared to self-directed platforms.
* D. An investment boutique: Boutique firms typically specialize in niche markets and may have higher service costs, which are not ideal for cost-effective derivatives trading.


NEW QUESTION # 92
ABT Ltd. is currently trading at $65. An investor buys five ABT July 55 put options for $2each. Ignoring commissions, what price must ABT Ltd. common shares trade at for theinvestor to break even on her put options?

  • A. $53
  • B. $55
  • C. $63
  • D. $57

Answer: A

Explanation:
To calculate the break-even price for the put options:
* The strike price of the put is $55.
* The cost per put option is $2.
* For the investor to break even, the stock must fall below the strike price by at least the cost of the option.
Break-even price = Strike price - Cost of the option= $55 - $2 =$53
If ABT Ltd. trades at $53, the investor can sell the stock at $55 using the put and recover the $2 premium paid.
References:
* Volume 1, Chapter 10:Derivatives, section on "Options Basics" explains the calculation of break-even prices for options.


NEW QUESTION # 93
Which exchange trades all financial andequity futures and options listed for trading in Canada?

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

Answer: A

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 # 94
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