Csc canadian securities Study guides, Class notes & Summaries

1. The CPI was 123.5 in the previous period and 128.6 in the current period. Calculate the approximate inflation rate during this period. Studen t Respon se Valu Corre e ct Answ er Feedback A. 3.97% 4.13% B. 100% C. 5.10% D. 6.05% General Feedbac k: The rate if found by (CPI current minus CPI previous)/CPI previous × 100. For this example question: (128.6 – 123.5)/ 123.5 x 100 = 4.13. Text reference: Chapter 4: Economic Principles. Score: 1/1 2. Which equity ind...

CPH Exam 230 Questions with Verified Answers When are suitability requirements not applicable? - CORRECT ANSWER For brokers who do not provide investment advice or operate as a separate legal entity How is a new product approved? - CORRECT ANSWER After review from the New product Committee What are the ethical principles for a code of ethics? - CORRECT ANSWER Trust, integrity, justice, fairness, and honesty What are the 5 Standards of Conduct? - CORRECT ANSWER Duty of Care, Tru...

Canadian Securities (CSC) Test #1 With Questions And Answers...

CSC Chapter 1 - Canadian Securities Industry Questions with correct Answers Agent When a broker acts as a _________, it acts for or on behalf of a buyer or a seller, but does not itself own title to the securities at any time during the transaction Capital Markets Markets that trade debt (bonds) and equity (stock) instruments with maturities of more than one year Previous Play Next Rewind 10 seconds Move forward 10 seconds Unmute 0:00 / 0:15 Full screen Brainpower R...

CPH Exam 230 Questions with Verified Answers When are suitability requirements not applicable? - CORRECT ANSWER For brokers who do not provide investment advice or operate as a separate legal entity How is a new product approved? - CORRECT ANSWER After review from the New product Committee What are the ethical principles for a code of ethics? - CORRECT ANSWER Trust, integrity, justice, fairness, and honesty What are the 5 Standards of Conduct? - CORRECT ANSWER Duty of Care, Tru...

CSC Ch 1-5 Questions and Answers Financial Intermediary (definition): - Describes any organization that facilitates the trading or movement of financial instruments - Investment dealers that act on their clients' behalf as agents and sometimes act as principals, risking their own capital Financial Intermediary (functions): - Help transfer capital from suppliers to users through the underwriting and distribution of new securities (primary market distribution) - Maintain secondary...

csc volume 1 Questions and Answers cash basis of accounting less than 20% of a subsidiary public float -part of issued shares that are outstanding and available for trading by the public -excludes shares owned in large blocks by institutions. Previous Play Next Rewind 10 seconds Move forward 10 seconds Unmute 0:01 / 0:15 Full screen Brainpower Read More number of shares outstanding to be lower than the number of shares issued company redeemed shares advant...

CSC Questions and Answers capital wealth in the form of material things such as land and buildings, and representational things like money stocks and bonds debt instrument issuer promises to repay loan at maturity and makes interest payments. Bonds, Debentures, Mortgages, Treasury Bills and Commercial Paper. Previous Play Next Rewind 10 seconds Move forward 10 seconds Unmute 0:01 / 0:15 Full screen Brainpower Read More equity instruments ownership stake in a compa...

CSC Chapter 1-3 practice test #1 Questions and Answers Trades and other transactions are cleared and settled through which of the following organizations? CDS Clearing and Depository Services Another term for self-directed broker is... discount broker. Previous Play Next Rewind 10 seconds Move forward 10 seconds Unmute 0:00 / 0:15 Full screen Brainpower Read More Front office performs all staff functions pertaining directly to portfolio management activities and in...

CSC Chapter 2 Questions and Answers What is SRO? Self-Regulatory Organization that establishes & enforce industry regulations to protect investors. The SRO monitors the market to ensure fairness in the market & governs the market activities What is an CDS? Clearing & Depositary Service where trades are settled Previous Play Next Rewind 10 seconds Move forward 10 seconds Unmute 0:00 / 0:15 Full screen Brainpower Read More What are financial intermediaries? Are orga...