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CSI Canadian Securities Course Exam 1 Sample Questions (Q56-Q61):
NEW QUESTION # 56
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 both ABC inc. and XYZ Company stock.
- C. Report her trading activity involving XYZ Company stock only.
- D. Report her trading activity Involving ABC Inc. stock only.
Answer: B
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 # 57
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. Principal
- B. Clearing agent
- C. Over-the-counter agent
- D. Alternative trading system
Answer: A
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 # 58
What is the main benefit of investing in preferred shares?
- A. Priority to claim assets ahead of debt holders.
- B. Higher potential for capital appreciation than common shares.
- C. Guaranteed dividend payment.
- D. Priority to receive fixed dividends ahead of common shareholders.
Answer: D
Explanation:
Preferred shares provide investors withpriority to receive fixed dividends ahead of common shareholders.
This fixed income feature makes preferred shares similar to debt instruments but with characteristics of equity. While preferred shareholders have no guaranteed dividend payment (subject to the company's discretion and profitability), they are entitled to receive dividends before any distribution to common shareholders.
Preferred shares do not have a higher potential for capital appreciation compared to common shares, as they are typically designed for income rather than growth. Additionally, preferred shareholders have a lower claim on assets compared to debt holders.
NEW QUESTION # 59
Using the Moody's long-term rating scale, which rating is best suited for an obligation that is not yetin default, out is considered speculative andsubject to very high credit risk?
Answer: A
Explanation:
Using Moody's long-term rating scale,Caais assigned to obligations that are speculative and subject to very high credit risk. This rating indicates that the issuer is highly vulnerable to adverse conditions, though it has not yet defaulted.
* C (Option A):Indicates obligations that are in default.
* B (Option B):Reflects obligations with speculative elements and higher risk than investment-grade ratings.
* Ba (Option C):Denotes speculative-grade credit but with lower risk compared to Caa.
NEW QUESTION # 60
Whataction is anexchange likely to take when the publicdistribution of a given securityhas dwindled to anunacceptablylow level?
- A. Delisting
- B. Hall in trading.
- C. Suspension in trading
- D. Delayed opening
Answer: A
Explanation:
When the public distribution of a security drops to an unacceptably low level, the exchange may consider delisting the security. This action ensures that the securities listed on the exchange meet minimum requirements to maintain market integrity and liquidity. Delisting is a permanent measure and typically occurs after other corrective actions fail, such as halting or suspending trading.
NEW QUESTION # 61
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