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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Trade Execution and Market Integrity | 8–12% | - Order routing and best execution - Prohibited practices and compliance |
| KYC and Suitability | 20–24% | - Suitability determination and documentation - Client information collection and updates |
| Structured Products | 10–14% | - Product types and risk profiles - Applicable regulatory rules |
| Client Monitoring and Relationship Management | 8–12% | - Performance reporting and CRM2 - Complaint handling procedures |
| Portfolio Construction and Managed Accounts | 10–14% | - Asset allocation and risk metrics - Registered account types |
| Equities | 18–22% | - Equity product features and risks - Trading mechanics and market structure |
| Fixed Income | 18–22% | - GICs and other retail fixed-income products - Bond characteristics and pricing |
| Mutual Funds and ETFs | 20–24% | - Suitability and sales obligations - Fund structures and disclosure documents |
CIRO Retail Securities Sample Questions:
1. What must be calculated when any portion of the money balance in a cash account is overdue by less than 6 business days?
A) The total trading volume of all securities in the account
B) The total cash balance available in the account
C) The equity deficiency; net weighted security value minus net cash
D) The gross amount of all securities in the account
2. Which of the following is a key factor in valuing a manufacturing company's stock?
A) Consumer sentiment
B) Production efficiency
C) Interest rates
D) Inflation
3. Which additional factor is included in the Carhart four-factor model that is not part of the original Fama- French three-factor model?
A) Market risk premium
B) Value
C) Size
D) Momentum
4. An investor is choosing between two bonds: Bond A with a term to maturity of 2 years and Bond B with a term to maturity of 10 years. If interest rates are expected to rise sharply next year and assuming all other things are equal, which bond should the investor select to minimize interest rate risk?
A) Bond B, because its longer term locks in current rates
B) Bond A, because its shorter term provides higher yield potential
C) Bond A, because its shorter term reduces exposure to rate changes
D) Bond B, because its longer term avoids rate fluctuations
5. An investor purchased 800 shares of a company at $15 per share in 2015, with a commission fee of 2% of the total purchase price. In 2019, they sold all 800 shares at $17 per share, incurring a flat commission fee of $40.
What is the investor's taxable capital gain, assuming a 50% inclusion rate?
A) $560
B) $660
C) $800
D) $720
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: B | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: B |
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