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CSI Canadian Securities Course Exam2 Sample Questions (Q140-Q145):

NEW QUESTION # 140
When a futures contract is entered into, who sets the minimum initial margin rate?

A. Buyer
B. Seller
C. investment dealer
D. Exchange

Answer: D

Explanation:
Theexchangethat lists and trades the futures contract sets theminimum initial margin rate. This margin is required as collateral to ensure performance under the contract. The exchange determines this rate based on the volatility and risk of the underlying asset, and it is subject to adjustment depending on market conditions.
Other options:
* Investment dealer: Acts as a facilitator but does not set the margin rates.
* Buyer/Seller: Must meet the margin requirements but do not set them.
References:
* Volume 1, Chapter 10:Derivatives, section on "Futures Contracts" describes the role of exchanges in setting margin requirements.

NEW QUESTION # 141
What does a simplified prospectus typically allow a fund company to do?

A. Provide up-to-date holding information to the public.
B. To quality a real property funds for sale.
C. Quality one or more mutual funds for sale.
D. Replace the financial reporting documents.

Answer: C

Explanation:
A simplified prospectus is a streamlined legal document that allows fund companies to qualify mutual funds for sale under National Instruments 81-101. It provides essential information about a fund's investment objectives, risks, fees, and performance in a concise and accessible format, enabling investors to make informed decisions. This document complements the more detailed financial disclosures and annual reports rather than replacing them.
Simplified prospectuses apply specifically to mutual funds and are not used for real property funds or to provide detailed holding updates.
* References:
* CSC Volume 2, Chapter 17: Mutual Funds - The Simplified Prospectus.
* CSC Volume 2, Chapter 23: Structured Products - Legal and Regulatory Frameworks.

NEW QUESTION # 142
Which investment account generally offers the least sophisticated products and has the lowest minimum requirement for investible assets?

A. Separately managed.
B. Unified managed.
C. Robo-advisory.
D. Non-model-based.

Answer: C

NEW QUESTION # 143
What obligation dues an IA have when communicating information about a preliminary prospectus to prospective investors?

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

Answer: C

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 # 144
Which type of sell side equity revenue is earned when a dealer acts in thecapacity of an agent in clients trade?

A. Fees
B. Commission
C. Interest
D. Spreads

Answer: B

Explanation:
In the context of sell-side equity revenue, when a dealer acts as anagentfor a client's trade, the revenue is typically earned as acommission. The dealer facilitates the trade between buyers and sellers without taking ownership of the securities, earning fees for providing this service.
* Commission: Earned when the dealer acts as an agent.
* Spreads: Earned when the dealer acts as a principal, buying securities at one price and selling at a higher price.
* Fees: Charged for additional services, such as research or analytics.
* Interest: Earned from financing activities or margin accounts, not directly tied to trading.
* A. Fees: Incorrect; fees are typically charged for services, not for acting as an agent.
* B. Spreads: Incorrect; spreads are earned when the dealer acts as a principal.
* C. Interest: Incorrect; interest revenue is unrelated to acting as an agent.
* D. Commission: Correct answer. Acting as an agent involves earning commissions for facilitating trades.
Types of Revenue in Sell-Side Trading:Explanation of Options:References:
* CSC Volume 2, Chapter 27: The Role of Sell-Side Dealers, which details revenue models in institutional and retail trading.

NEW QUESTION # 145
......

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100% Pass Quiz 2025 Accurate CSI CSC2 Reliable Exam Questions

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CSI Canadian Securities Course Exam2 Sample Questions (Q140-Q145):

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