Csc canadian securities - Study guides, Class notes & Summaries
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CSC (Canadian Securities Course) Exam 1 (Questions & Answers)2023/2024||Verified Answers||A+ GRADED
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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...
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CPH Exam 230 Questions with Verified Answers,100% CORRECT
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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...
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Canadian Securities (CSC) Test #1 With Questions And Answers
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Canadian Securities (CSC) Test #1 With Questions And Answers...
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CSC Chapter 1 - Canadian Securities Industry Questions with correct Answers
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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 
 
 
 
 
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CPH Exam 230 Questions with Verified Answers,100% CORRECT
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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...
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CSC Ch 1-5 Questions and Answers
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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...
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csc volume 1 Questions and Answers
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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. 
 
 
 
 
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number of shares outstanding to be lower than the number of shares issued 
company redeemed shares 
 
 
 
advant...
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CSC Questions and Answers
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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. 
 
 
 
 
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equity instruments 
ownership stake in a compa...
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CSC Chapter 1-3 practice test #1 Questions and Answers
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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? 
CDS Clearing and Depository Services 
 
 
 
Another term for self-directed broker is... 
discount broker. 
 
 
 
 
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Front office performs all staff functions pertaining directly to portfolio management activities and in...
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CSC Chapter 2 Questions and Answers
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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 
 
 
 
 
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What are financial intermediaries? 
Are orga...
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