Free Canadian Securities Course Exam 1 Practice Questions

A.  

The number of shares Increases and theshare price Increases.

B.  

The number of shares decreases and the share price eases

C.  

The number of shares decreases and the share price decreases.

D.  

The number of shares increases and the share price decreases.

A.  

The IA must ensure 3 proxy is mailed to the investors to vote for approval or disapproval of the offering.

B.  

The IA must provide a greensheet

C.  

The IA must make a tombstone advertisement.

D.  

The IA mum record the names addresses of those who have requested and received a preliminary prospectus

A.  

A self-director broker

B.  

A full-service broker

C.  

An integrated firm

D.  

An investment boutique

A.  

One business day after the transaction

B.  

same day me transaction takes place.

C.  

Two business days after the transaction

D.  

Three business days after the transaction.

A.  

Institution firms

B.  

Retail firms

C.  

Integrated firm

D.  

Boutique firms

A.  

Right of rescission.

B.  

Right of action for damages

C.  

Right of amended prospectus delivery

D.  

Right of withdrawal.

A.  

When a call option with the price of the underlying asset is lower than the strike price.

B.  

When a put option with the price of the underlying asset is higher than the strike price.

C.  

When a put option with the price of the underlying asset is higher than the strike price.

D.  

When a put option with the price of the underlying asset is higher than the strike price.

A.  

Decrease interest rate to balance the risk of rising inflation.

B.  

Reduce Interest rales to reduce demand for borrowing.

C.  

increase short-term interest rates to maintain the value of currency.

D.  

Add a default premium to interest rates to protect lenders.

A.  

increase the share price

B.  

Decrease the share price

C.  

Prevent delisting from a stock exchange

D.  

Fewer outstanding shares

A.  

Natural

B.  

Structural

C.  

Cyclical

D.  

Frictional