Canadian Securities Exam Fast-Track Study Guide (3rd revised by Sean Cleary

By Sean Cleary

Even if your profession aspirations lie in banking, monetary making plans, the mutual fund or a brokerage, you cannot keep away from taking the Canadian Securities examination. yet there is a lot of fabric to grasp for the day of the exam, and it may be a frightening activity to assimilate this kind of large physique of knowledge.The Wiley Canadian Securities examination Fast-Track research consultant is a quick-review device that covers all of the fundamentals you want to comprehend to move the examination. It offers "quick hits" of the major issues you want to be aware of, in language that is effortless to appreciate and keep on with. This concise examine aid:summarizes the fundamental, "need-to-know" informationhighlights vital topicsfeatures a number of selection evaluation questions on the finish of every chaptermakes fabric effortless to learn, comprehend and rememberincludes perform assessments and double the variety of overview questions within the final editionThis variation has been thoroughly up-to-date and revised to mirror fresh adjustments to the path and the tests. It positive aspects updates all through, new questions and new perform tests, and it's been restructured for ease of use and comprehension.Don't allow the strain and volume of fabric you want to recognize for the examination crush you. organize your self with the Wiley Canadian Securities examination Fast-Track learn advisor. it is the ideal quick-review device to wrap up your learning and assist you specialize in doing all your top at the examination.

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A) registration of securities dealers and advisors b) enforcement of the laws and policies c) disclosure of material facts d) none of the above 4. Which of the following types of information must listed companies disclose? I. insider trading reports II. block trading activity 32 Canadian Securities Exam Fast-Track Study Guide III. annual information form IV. monthly profit statements a) I and II b) I and III c) II and III d) II and IV ( ) 5. Which of the following would not be considered corporate insiders?

The main source of Federal Government revenue in Canada is: ( ) ( ) ( ) ( ) ( ) a) major transfers to persons b) transfers to Provincial governments c) personal income tax d) corporate income tax 9. 00% d) all of the above are true 10. Which of the following statements are true? a) SPRAs are used to reinforce the lower limit of the operating band b) SPRAs involve the government purchasing securities from a primary deal­ er and selling them back to the dealer the following day at a predeter­ mined price c) SPRAs involve the government lending money to chartered banks at rates outside of the operating band d) None of the above are true 11.

All investment advisors and securities (member) firms must register in the appro­ priate jurisdiction(s). This must be done electronically using the National Registra­ tion Database (NRD), which replaces the old paper-based system based on the Uniform Application for Registration/Approval. Both parties (individual and mem­ ber firms) must agree to be bound by the regulations of the governing body. It requires applicants to certify details about their personal and educational back­ ground. In addition, members must notify administrators of the termination of an IA (providing reasons if they were dismissed), and applicants must notify adminis­ trators of any material changes (including address).

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