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Updated: Jul 02, 2026
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CSI Canadian Securities Course Exam 1 Sample Questions:
1. Billy owns shares of 143 Financing inc, in a discretionary account. He wants to exercise his right to vote at the company's annual general meeting, but will be away on a business trip. Who can vote on Billay's behalf?
A) His Investment advisor who has discretionary Investment duties
B) Only by Billy
C) Any person whom he has designated Through a proxy
D) His dealer as long as there is a signed consent on file
2. On what basis are government securities awarded atthe auction average yield?
A) Dealer market system
B) Schedule III banks
C) Non-competitive lender.
D) Open market
3. The Bank of Canada uses anoperating band to help manage the oversight rate. Howwide is the operating Band?
A) 50 basis points
B) 100 basis points.
C) 75 basis points
D) 25 basis points
4. What Is the requirementestablished by the Canadian Radio-television and Telecommunications Commission that applies to an advisor who is cold calling potential new clients?
A) An advisor must advise DNCL registrants within the first minute that it is a sales call
B) An advisor must subscribe to the National Do Not car List (DNCL)
C) An advisor must make sales calls only during regular business hours
D) An advisor must not can any person who has been a DNCL registrant for more than one day
5. Where docs primary responsibility for gatekeeping inthe securities industry reside?
A) With the CIRO dealer members and all Their employees
B) With OS FI
C) With the provincial securities regulators.
D) With the market surveillance Division of CIRO.
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: C | Question # 3 Answer: A | Question # 4 Answer: B | Question # 5 Answer: A |
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