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CSI Canadian Securities Course Exam 1 Sample Questions (Q88-Q93):

NEW QUESTION # 88
Under which circumstance is an option considered to be in-the-money?

A. When a put option with the price of the underlying asset is higher than the strike price.
B. When a put option with the price of the underlying asset is higher than the strike price.
C. When a put option with the price of the underlying asset is higher than the strike price.
D. When a call option with the price of the underlying asset is lower than the strike price.

Answer: A

Explanation:
An option is "in-the-money" when it has intrinsic value:
* For aput option, it is in-the-money when the underlying asset's price isbelowthe strike price, allowing the holder to sell the asset at a higher price (strike price).
Incorrect options clarify the following:
* A call option is in-the-money when the underlying asset's price isabovethe strike price.

NEW QUESTION # 89
Where docs primary responsibility for gatekeeping inthe securities industry reside?

A. With the market surveillance Division of CIRO.
B. With OS FI
C. With the provincial securities regulators.
D. With the CIRO dealer members and all Their employees

Answer: D

Explanation:
The primary responsibility for gatekeeping in the securities industry resides with CIRO (Canadian Investment Regulatory Organization) dealer members and their employees. This gatekeeping role includes adhering to regulations, implementing Know Your Client (KYC) and Know Your Product (KYP) rules, and ensuring compliance with ethical standards and client-focused reforms.
Dealer members and their employees must ensure that the products and services offered are suitable for their clients and that any potential conflicts of interest are managed appropriately.
Study Document References:
* Volume 1, Chapter 3:The Gatekeeper Role in Securities Regulation, focusing on the responsibilities of CIRO dealer members.

NEW QUESTION # 90
On what basis are government securities awarded atthe auction average yield?

A. Non-competitive lender.
B. Open market
C. Dealer market system
D. Schedule III banks

Answer: A

Explanation:
Government securities are awarded at auction using both competitive and non-competitive bidding. In a non- competitive bid, the participants (such as smaller investors or institutions) agree to accept the average yield determined by the competitive bidding process. This mechanism ensures equitable access to government securities without the need to compete directly on yield, promoting broad participation in the market.

NEW QUESTION # 91
What is one key feature of futures?

A. Parties are unable to offset the contract prior to expiration.
B. The buyer must pay theseller a feewhen the contract is entered Into.
C. Can trade on an exchange or over-the-counter market.
D. Both parties to me contract must participate in The future Trade.

Answer: C

Explanation:
Futures contracts are standardized agreements to buy or sell an asset at a predetermined price on a future date.
They are unique because they can be traded on regulated exchanges, such as the Chicago Mercantile Exchange (CME), or over-the-counter (OTC), where counterparties negotiate terms directly.
This dual trading mechanism ensures flexibility and accessibility for market participants, differentiating futures from other derivatives like forwards, which are typically OTC-only.
Study Document References:
* Volume 1, Chapter 10:Derivatives and Features of Futures, including how they are traded.

NEW QUESTION # 92
What bestdescribes the liability of limited partners in a limited partnership?

A. Their liability is limited to their investment
B. They are not liable for debts and losses incurred in business operations.
C. Their liability includes personal assets.
D. They are liable only to the extent of the daily business activities they participate in.

Answer: A

Explanation:
In a limited partnership, the liability of limited partners is strictly limited to the amount of their investment in the partnership. They do not participate in the day-to-day management or operational decision-making of the partnership. This characteristic ensures that their personal assets are protected beyond their contribution to the partnership.
If limited partners were to engage in the management of the partnership, they could potentially lose their limited liability protection and be treated as general partners, exposing their personal assets to liability.
This concept is foundational in business structures like limited partnerships, allowing investors to contribute capital without risking their personal wealth beyond the agreed investment.
Study Document References:
* Volume 1, Section on Corporations and Financial Structures:This section discusses different forms of business organizations, including partnerships, and highlights the limited liability of investors in structures like limited partnerships.

NEW QUESTION # 93
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CSC1 Study Materials Review - CSC1 Authorized Pdf

100% Pass Quiz 2025 CSI CSC1 Latest Study Materials Review

CSI Canadian Securities Course Exam 1 Sample Questions (Q88-Q93):

CSI CSC1 Exam Questions Available At 25% Discount With Free Demo

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