Canadian Securities Institute, Moody's Analytics Training & Certification Services
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New Entrants Course (NEC)

 

The New Entrants Course assumes an established base of investment knowledge and looks at subjects from a Canadian perspective, including:

  • Overview of the Canadian securities industry
  • Selected Canadian economic topics
  • Investment products
  • Insurance products, including segregated funds
  • Fee-based accounts
  • Taxes and taxation issues
  • The Canadian regulatory environment
  • Dealing with clients
  • Special transactions and products
  • Applied ethics

What's Included:

  • Electronic versions of the Canadian Securities Course (CSC®) textbooks, the Conduct and Practices Handbook (CPH) and Applied Ethics in the Securities Industry (in PDF format)
  • Interactive activities to reinforce key learning
  • Customizable calendar
  • Assistance from CSI’s academic specialists
  • Timely course updates via CSI's website
  • One sitting of the exam, if written in Canada (fee applies for international sittings)

If you selected the "with textbook" option you'll receive a printed version of the Canadian Securities Course (CSC®), Conduct and Practices Handbook (CPH) and Applied Ethics in the Securities Industry.

EXAM STRUCTURE
(weightings are approximate)
The Canadian Investment Marketplace CSC Volume 1: Chapter 2 5%
The Economy CSC Volume 1: Chapters 4 & 5 7%
Investment Products CSC Volume 1 & 2: Chapters 6-8, 18, 20-24 23%
Canadian Taxation CSC Volume 2: Chapter 25 15%
The Regulatory Environment CPH Section I: Chapters 1-3 8%
Dealing with Client Accounts CPH Section II: Chapters 4-8 16%
Special Transaction and Products CPH Section III: Chapters 9-10 11%
Applied Ethics in the Securities Industry AESI: Chapters 1-5 15%
EXAM FORMAT
Exams 1
Exam Format Paper Based
Exam Length 2 Hours
Question Format Multiple Choice
Questions Per Exam 75
Attempts Allowed Per Exam 3*
Passing Grade 60%
Assignments None
ENROLMENT PERIOD
Enrolment Period 1 year†
COURSE COMPLETION NOTICE AND WALL CERTIFICATE

On successful completion of this course you will be able to download a Notice of Course Completion available through your student profile. This will remain on your profile as formal indication of course completion.

CSI will mail you a wall certificate within 4 - 6 weeks of course completion. If you would like to purchase a frame to display your certificate please click here. Please ensure that your First and Last Name on your profile match your First and Last Name on your Government Issued Photo identification - this will ensure you receive an accurate certificate.

CSI will be pleased to issue an Honors Certificate to all students who obtain a final course mark of 85% or higher.

*There is no charge for your first attempt at a paper-based exam within Canada, as long as it's at a regular exam center and you provide a minimum of 14 days notice before the date that you want to write the exam. If you would like to write a computer-based exam, an additional fee will be required.

Each subsequent paper-based exam attempt at a regular exam centre within Canada will also require an additional fee. This fee is in addition to any special, computer-based or international fees that may apply. You must provide a minimum of 14 days notice within Canada at a regular exam centre and 4 weeks notice for all other centres. Please note that the date of the exam is not part of any notice period.

†Please note: Access to your online materials will close 2 weeks after successful course completion or course expiry (whichever comes first). This course can be extended by 1 year provided you have not exceeded the attempts allowed for each exam. You can view CSI extension fees here. Your enrolment period can only be extended one time.

Important: During a student's enrolment period, CSI may update this course. In that case, details about the update and how it may affect students will be posted online via My CSI. Students are held responsible for and are examinable on the content in the course textbook(s) provided at the time of enrollment unless stated otherwise in My CSI. Students are encouraged to check My CSI regularly throughout their enrolment period.

Continuing Education (CE) Credits

Click the links below or the buttons at the top of the page on the right side to access CE accreditation information. To search for specific course information, press Ctrl + F and then enter the course name to search the document for the information you are interested in.

National/Provincial (Excluding Quebec)
Download CE Chart (PDF, 163 kb)

Quebec (IQPF/CSF)
Download IQPF/CSF Chart (PDF, 182 kb)

Please note: While CSI makes every effort to ensure that the information is up-to-date, we are unfortunately unable to fully guarantee its accuracy. The information listed in the charts above may be subject to change.

For details on the organizations and other information on CE Credits listed in the above charts, please click here.

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