최신CSI Canadian Securities Course Exam2 - CSC2무료샘플문제

A. Determining investment objectives

B. Outlining a list of acceptable and prohibited investments

C. Determining investment constraints

D. Developing the asset mix

A. Naveed, who plans to use his investments to buy a house in five years.

B. Andrew, who is retired and needs to supplement his retirement pension.

C. Hira, who is investing in her RRSP in anticipation of retirement in 15 years.

D. Elaine, who is contributing to an RRSP with a plan to use the funds for the Lifelong Learning Plan in seven years.

A. Generates large cash flows that are paid out in dividends.

B. Has low price-to-earnings ratio and high dividend yield.

C. Exhibits lower costs of production with increased competition.

D. Sales and earnings closely match the overall rate of economic growth.

A. Provincial saving bond

B. Common shares

C. Proffered shares

D. Exchange-traded fund.

A. It compares the return of the portfolio with the return of the market as a whole, relative to the portfolio ' s risk as measured by its standard deviation.

B. It compares the return of the portfolio with the riskless rate of return, relative to the market ' s risk as measured by its standard deviation.

C. It compares the return of the portfolio with the riskless rate of return, relative to the portfolio ' s risk as measured by its standard deviation.

D. It compares the return of the portfolio with the return of the market as a whole, relative to the portfolio ' s risk as measured by its beta.

A. Portfolio turnover is high, so investors can expect to incur frequent capital gains

B. The portfolio will realize higher dividend yields than a growth equity portfolio

C. Stock selections tend to have a higher beta than those chosen by a growth manager

D. This portfolio style tends to perform best in up markets, with minimal gains in down markets

A. Irrevocable exchange of securities and cash.

B. Trade orders are filled at the exchange.

C. Confirming and matching trade details.

D. Matching a buyer with a seller.

A. A long-term bond with a high coupon.

B. A short-term bond with a low coupon.

C. A long-term bond with a low coupon.

D. A short-term bond with a high coupon.

A. Peak earning years

B. Mature earning years

C. Early earning years

D. Retirement years

A. Company earnings-to-invested capital rates are above average.

B. Demand for industry products is stable.

C. Industry growth matches the overall rate of economic growth.

D. Price competition increases between companies.

A. Advice.

B. Sales.

C. Research.

D. Underwriting.

A. Buyer

B. Seller

C. investment dealer

D. Exchange

A. Becoming a day trader while employed at a dealer.

B. Failing to disclose a conflict of interest.

C. Not ensuring a trade is suitable for the client.

D. Trading ahead of a client's order.

A. Focuses on large, liquid companies expected to perform well.

B. Searches for lesser-known, undervalued companies.

C. Identifies recurring patterns in historical prices for buying opportunities.

D. Chooses companies that have the greatest earnings momentum.

A. Timing.

B. Strategic.

C. Tactical.

D. Dynamic.