Canadian Securities (CSC) Bundled Exams with complete solutions

Alternative trading systems - Privately owned computerized networks that match orders for securities outside of recognized exchange facilities. Also referred to as Proprietary Electonic Trading Systems Auction Market - Market in which securities are bought and sold by brokers acting as agents for...

Robo-Advisors - - Currently Have $45 Billion Dollars in Assets - Online Investment Service Self-Regulatory Organizations - - IIROC - Investment Industry Regulatory Organization Of Canada - MFDA - Mutual Funds Dealers Association Canadian Investor Protection Fund - - Canadian Investor Protection ...

Canadian securities industry is mainly regulated by the ______ - Provinces The Investment Industry Regulatory Organization of Canada (IIROC) is an example of a ______ - Self-regulatory organization (SRO) Securities commissions delegate some of their powers to _____, who establish and enforce indu...

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 Se...

Fundamental analysis - looks at everything to best determine if the security's price will change. It is a method of analyzing the ST, MT, and LT prospects of different industries to shed light on security prices. Technical analysis - focuses on the stock market. It uses charts and patterns of th...

Retail firms - full service and discount brokerage firms for individuals. Institutional firms - includes pension funds, mutual funds, and insurance companies. Integrated firms - contains all aspects of retail and institutional firms. Front office - in charge of portfolio management, marketing, sa...