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CSI Canadian Securities Course Exam 1 Sample Questions (Q52-Q57):

NEW QUESTION # 52
Which type of bond allows the issuer to redeem at a specified premium prior to maturity?

A. Extendible
B. Retractable
C. Callable
D. Convertible
E. Acronyms

Answer: C

Explanation:
Acallable bondgives the issuer the right to redeem the bond before its maturity date at a specified price, which often includes acall premium. The call premium is the additional amount over the bond's face value that the issuer pays to compensate the bondholder for the early redemption. Callable bonds are advantageous for issuers when interest rates drop, allowing them to refinance the debt at a lower cost.
Definitions of Other Bond Types:
* Acronyms (A):Not a bond type. This option is irrelevant.
* Extendible (C):These bonds allow the bondholder to extend the maturity date, not the issuer to redeem early.
* Convertible (D):These bonds allow bondholders to convert them into a specified number of common shares of the issuing company.
* Retractable (E):These allow the bondholder, not the issuer, to demand early redemption before the maturity date, usually at par.
Why Callable is Correct:
* A callable bond explicitly provides the issuer with the right to redeem the bond early, typically at a premium.
* This feature is included in the bond's terms and conditions and is typically accompanied by specific call dates and premiums.
References:
* Canadian Securities Course (CSC), Volume 1, Chapter 6: Fixed-Income Securities - Features and Types. Explanation of callable bonds and their associated premiums.
* Discussion on the advantages and risks of callable bonds for issuers and investors.

NEW QUESTION # 53
A politician promises to lower income taxes and increase government spending on social programs. but once selected her government's high debt level prevents her from doing so. Which challenge has this politician faced?

A. Timing lags
B. Unsynchronized fiscal and monetary policies.
C. Co-ordination of federal, Provincial, and municipal policies
D. Political business cycle

Answer: A

Explanation:
Timing lags refer to delays between the implementation of fiscal policy measures (such as tax cuts or increased government spending) and their impact on the economy. In this case, the politician's government was unable to implement the promised fiscal policies due to the high debt level, which delayed or negated the planned economic measures.
This reflects the challenge of timing lags in fiscal policy, where structural constraints (such as debt levels) prevent timely execution.
References:
* Volume 1, Chapter 5:Economic Policyunder "Challenges of Government Policy" discusses timing lags in implementing fiscal measures (CSC Volume 1, Chapter 5).

NEW QUESTION # 54
What tern describes the requirementof registrants to collectextensive personal and financial Information from individuals before making an investment recommendation?

A. Suitability rule
B. Know Your Client rule.
C. Gatekeeper obligations.
D. Fiduciary duty

Answer: B

Explanation:
TheKnow Your Client (KYC) rulerequires registrants to gather detailed personal and financial information from clients before providing investment advice or making recommendations. This ensures that investment recommendations align with the client's financial goals, risk tolerance, and circumstances.
* This obligation is critical for ensuring suitability in investment products and maintaining regulatory compliance.
* Suitability rule (A)refers to matching investments to a client's needs but comes after gathering KYC information.
* Gatekeeper obligations (C)focus on preventing illegal activities like money laundering.
* Fiduciary duty (D)applies to acting in the best interest of the client but is broader in scope.
References:Volume 1, Chapter 3 ("Know Your Client Rule").

NEW QUESTION # 55
What is the action that the CentralBank takes to limitthe impact of increased foreign Interestrates on Interest rates in Canada?

A. Reduce Interest rales to reduce demand for borrowing.
B. Add a default premium to interest rates to protect lenders.
C. Decrease interest rate to balance the risk of rising inflation.
D. increase short-term interest rates to maintain the value of currency.

Answer: D

Explanation:
When foreign interest rates rise, capital may flow out of Canada as investors seek higher returns abroad. To counter this, the Bank of Canada may increase short-term interest rates to make Canadian assets more attractive and maintain the value of the Canadian dollar. This helps stabilize the exchange rate and reduces the risk of imported inflation.
Such actions demonstrate the central bank's role in managing monetary policy to preserve economic stability and maintain currency confidence.
Study Document References:
* Volume 1, Chapter 5:Monetary Policy and the Role of the Bank of Canada.

NEW QUESTION # 56
What obligation dues an IA have when communicating informationabout a preliminary prospectus to prospectiveinvestors?

A. The IA must make a tombstone advertisement.
B. The IA mum record the names addresses of those who have requested and received a preliminary prospectus
C. The IA must provide a greensheet
D. The IA must ensure 3 proxy is mailed to the investors to vote for approval or disapproval of the offering.

Answer: B

Explanation:
Investment advisors (IAs) are required to record the names and addresses of all individuals who have requested and received a preliminary prospectus. This ensures compliance with securities regulations and provides a record for follow-ups and potential disclosures related to the offering.
* A. The IA must ensure a proxy is mailed: Proxy voting is related to shareholder meetings, not the prospectus distribution.
* B. The IA must provide a greensheet: A greensheet is used internally by investment firms, not distributed to clients.
* C. The IA must make a tombstone advertisement: Tombstone advertisements are created by the issuer, not the IA.

NEW QUESTION # 57
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