Canadian Securities Course Exam 2025 VERIFIED EXAM QUESTIONS WITH COMPREHENSIVE ANSWERS – 100% GUARANTEED SUCCESS RATE, ALL THE BEST.

Canadian Securities Course Exam 2025 VERIFIED EXAM QUESTIONS WITH COMPREHENSIVE ANSWERS – 100% GUARANTEED SUCCESS RATE, ALL THE BEST. Practice questions for this set Learn 1 / 7 Study with Learn Facilitating a trade between a buyer and seller, without owning the security. They make money via commissions. Choose matching term 1 What is a foreign-pay preferred? 2 What is the Par Value of a bond? 3 What is the National do not call list? 4 When an investment dealer is acting as agents, what are they doing? Don't know? 12/15/24, 11:31 PM Canadian Securities Course Exam 2025 VERIFIED EXAM QUESTIONS WITH COMPREHENSIVE ANSWERS – 100% GUARA… Terms in this set (339) What does an Investment Dealer do? Acts as intermediaries between investors and users of capital. When a Investment Dealer is acting as Primary, what are they doing? Selling securities from their own inventory. Make money via spread/underwriting. When an investment dealer is acting as agents, what are they doing? Facilitating a trade between a buyer and seller, without owning the security. They make money via commissions. What are the three types of Investment dealers? Retail firms, Institutional firms, and Integrated firms. Give a brief description of retail firms. Includes full service investment dealers and self directed brokers. Give a brief description of Institutional firms. They serve institutional clients and organizations that trade large volumes like pension funds. Give a brief description of Integrated firms. Offer products and services that participate in both retail and institutional markets. Most firms underwrite debt and equity issues and are active in the secondary markets. What are the roles of front, middle, and back offices of an investment dealer firm? Front Office: Portfolio management, Trading, Sales, Marketing. Middle Office: Compliance, Accounting, Audits, Legal Back Office: Trade settlement. 12/15/24, 11:31 PM Canadian Securities Course Exam 2025 VERIFIED EXAM QUESTIONS WITH COMPREHENSIVE ANSWERS – 100% GUARA… What services do investment dealers provide? They provide advice about new issues, They act as market makers, They buy stocks as principal becoming more competitive in serving their institutional clients, They add liquidity to secondary markets which enhances the primary markets. What is a Market Maker A trader that maintains liquidity in securities markets by taking large positions to enhance liquidity and sooth out price distortions. What does the Clearing and Depository Services (CDS) do? It clears security transactions daily using a process called netting to establish and confirm a credit or debit position. What are the three types of chartered banks? Schedule I,II, & III banks Describe Schedule I Banks Banks such as TD, RBC. They offer loans, savings and deposits from businesses and consumers. They also sell mutual funds and other investment options, and mortgages. Describe Schedule II Banks Such as Citi Canada, AMEX Canada. Are foreign bank subsidiaries, They do everything schedule I banks do plus commercial loans to business, issue financial paper in money markets, take deposits for businesses and sell mutual funds and other investments. Describe Schedule III Banks Such as Deutsche, Comerica. Most are full service foreign bank branches of foreign banks and accept deposits, not usually lending.