QUESTION 47
Which regulatory body is responsible for the surveillance of trading and market-related activities of participants on Canadian equity marketplaces?

QUESTION 48
The following financial information is available for fund SKE:

What is SKE fund’s net asset value per share?

QUESTION 49
What types of product would be immune to the effects to tracking error?

QUESTION 50
What responsibility falls on the buy-side portfolio manager?

QUESTION 51
Tom sold some bonds in his RRSP and used the total $100,000 in proceeds to buy a 75% guaranteed segregated fund. Three years later, Tom died. At the time of his death, the market value of the segregated fund was $700,000. Assuming no interim withdrawal on market value reset, what is the death benefit payable from this investment?

QUESTION 52
A bond with a duration of five is currently priced at $103. If Interest rates rise by 2%. approximately what win be me bond’s price?

QUESTION 53
Which statutory right allows a purchaser to caned their order if a prospectus has a misrepresentation?

QUESTION 54
What is a key feature if index-linked GICs?

QUESTION 55
What is margin in an equity transaction?

QUESTION 56
What do technical analysis and fundamental analysis have in common?

QUESTION 57
A fixed-rate bond was originally priced at $100 and paid $5 per year in interest. Currently, the bond is trading at $102.75. What is the impact on the current yield of coupon of the bond as a result of the change in price?

QUESTION 58
Which type of commodity ETF is most suitable for an investor seeking to gain exposure to the spot price of a commodity?

QUESTION 59
What is the difference between sinking funds and purchase funds concerning the redemption of bonds poor to maturity?

QUESTION 60
What must happen for a redemption to be processed from a mutual fund?

QUESTION 61
What legal authority does the done receive under the protection mandate in Quebec?

QUESTION 62
Which type of sell side equity revenue is earned when a dealer acts in thecapacity of an agent in clients trade?

QUESTION 63
An emerging Canadian company is exploring the possibility of using hot water springs to produce clear energy for remote rural communities. The company has strong human resource capital and few assets, and raised SI 20,000 through the Capital Pool Company program. Which option is best for this company to continue maximizing public exposure and raising capital?

QUESTION 64
Anwar is placing a market order to purchase 100 shares of AJL when the bid/ask is $10.25.”$ 10.75. Before the trade is complete, the bid/ask moves to $10.207S1Q70. What is the share price that Anwar will pay on the purchase transaction?

QUESTION 65
The consumer price index was 125.9 in December of last year and 123.0 in December of the year before What was the inflation rate last year?

QUESTION 66
What is a disadvantage of fee-based accounts when compared to commission-based accounts?

QUESTION 67
In March of this year, a client buys 1,000 PIL inc, common shares at $16 per share and pays a commission of
$25 on the purchase. Several months later in the same year, the client sell the shares at $12 per share and pays commission of $50 on the sale. What is the client’s allowable capital loss on the transaction?

QUESTION 68
All things being equal and assuming a stable economy, which factor most likely limits the effectiveness of fiscal policy?

QUESTION 69
Based on market capitalization. which sector of the SSP.’TSX Composite index has one of the highest weightings within the index?

QUESTION 70
What is the measure of risk commonly applied to portfolio and to individual securities within that portfolio?

QUESTION 71
Which will taxed at the taxpayer’ marginal tax rate?