CSC Chapter 1-3 practice test #1 Questions and Answers
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Course
CSC - Cyber Secure Coder
Institution
CSC - Cyber Secure Coder
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.
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CSC Chapter 1-3 practice test #1
Questions and Answers
Trades and other transactions are cleared and settled through which of the following
organizations? - answer CDS Clearing and Depository Services
Another term for self-directed broker is... - answer discount broker.
Front office performs all staff functions pertaining directly to portfolio management
activities and includes all of the following except... - answer Trade settlement.
Voting shares of large Schedule 1 banks must be widely held, with the control of any
single shareholder or group restricted to no more than ___________. - answer
twenty percent.
Which of the following is not true about Schedule II Banks? - answer They may not
engage in all the types of businesses permitted a Schedule I Bank.
What is the most important aspect of the insurance business in Canada? - answer
Underwriting.
All of the following is true of the robo-advisor service except... - answer portfolios are
built primarily with mutual funds.
Which of the following best describes the relationship between direct and indirect
investment? - answer Indirect investment occurs when the saver buys the securities
issued by government and corporations, which in turn use the funds for direct
investment in plant, equipment, etc.
Which of the following are not structured products? - answer Exchanged-traded
funds
10. Which of the following is not true with respect to Canadian Exchanges and the
products that trade on them? - answer The TSX Venture Exchange trades junior
securities, income trusts and ETFs.
In Ontario, trades in unlisted securities and unquoted securities are reported through the
web-based system of the... - answer Canada Unlisted Board.
CanDeal was established to facilitate trading in... - answer bonds.
Which group's mission is it to develop a national regulatory system that fosters fair,
efficient, and vibrant capital markets? - answer Canadian Securities Administrators
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