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CSI Canadian Securities Course Exam 1 Sample Questions (Q26-Q31):

NEW QUESTION # 26
What tern describes the requirementof registrants to collectextensive personal and financial Information from individuals before making an investment recommendation?

A. Fiduciary duty
B. Know Your Client rule.
C. Gatekeeper obligations.
D. Suitability rule

Answer: B

Explanation:
TheKnow Your Client (KYC) rulerequires registrants to gather detailed personal and financial information from clients before providing investment advice or making recommendations. This ensures that investment recommendations align with the client's financial goals, risk tolerance, and circumstances.
* This obligation is critical for ensuring suitability in investment products and maintaining regulatory compliance.
* Suitability rule (A)refers to matching investments to a client's needs but comes after gathering KYC information.
* Gatekeeper obligations (C)focus on preventing illegal activities like money laundering.
* Fiduciary duty (D)applies to acting in the best interest of the client but is broader in scope.
References:Volume 1, Chapter 3 ("Know Your Client Rule").

NEW QUESTION # 27
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. $55
B. $53
C. $63
D. $57

Answer: B

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 # 28
A large number of well-trained, willing-to-work individuals have given up trying to find employment. All else being equal, how will the labor market indicators be affected by this event.

A. An increase in the labour force.
B. A decrease in the structural unemployment rate.
C. An increase in the participation rate.
D. A decrease in the overall unemployment rate.

Answer: D

Explanation:
When individuals stop actively seeking work, they are no longer considered part of thelabour force, and this reduces theunemployment ratesince it only includes those actively seeking employment.
* A (Structural unemployment)remains unchanged as this relates to mismatches in skills or geographic factors.
* C (Participation rate)decreases since fewer individuals are in the labour force.
* D (Labour force)decreases as individuals withdraw from it.
References:Volume 1, Chapter 4 ("Labour Market Indicators").

NEW QUESTION # 29
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. Alternative trading system
B. Over-the-counter agent
C. Principal
D. Clearing agent

Answer: C

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 # 30
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. $22,500
B. $24,400
C. $25, 000
D. $21,900

Answer: D

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 # 31
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CSC1 Valid Test Sims, Valid CSC1 Exam Question

Get Up-to-Date CSC1 Valid Test Sims to Pass the CSC1 Exam

CSI Canadian Securities Course Exam 1 Sample Questions (Q26-Q31):

CSI CSC1 Exam | CSC1 Valid Test Sims - High-effective Company for CSC1: Canadian Securities Course Exam 1 Exam

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