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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Trade Execution and Market Integrity | 8–12% | - Prohibited practices and compliance - Order routing and best execution |
| Client Monitoring and Relationship Management | 8–12% | - Complaint handling procedures - Performance reporting and CRM2 |
| Fixed Income | 18–22% | - Bond characteristics and pricing - GICs and other retail fixed-income products |
| Portfolio Construction and Managed Accounts | 10–14% | - Registered account types - Asset allocation and risk metrics |
| Equities | 18–22% | - Equity product features and risks - Trading mechanics and market structure |
| KYC and Suitability | 20–24% | - Client information collection and updates - Suitability determination and documentation |
| Structured Products | 10–14% | - Product types and risk profiles - Applicable regulatory rules |
| Mutual Funds and ETFs | 20–24% | - Fund structures and disclosure documents - Suitability and sales obligations |
CIRO Retail Securities Sample Questions:
What are the disadvantages of a private placement of securities?
- A. Higher costs
- B. Limited liquidity
- C. Regulatory oversight
- D. Broad investor base
Correct Answer: B 🗳️
Explanation: Only visible for Prep4pass members. You can sign-up / login (it's free).
A 45-year-old investor has been working with their Registered Representative (RR) for over a decade. Their portfolio has been structured to prioritize long-term growth with a moderate risk tolerance. Recently, the investor inherited a substantial sum from a relative, significantly increasing their overall net worth. They are now considering early retirement and have expressed interest in shifting their investment strategy. What should the RR do?
- A. Discourage the investor from withdrawing any funds to protect their long-term investment growth
- B. Renew the investor's information and discuss what adjustments should be made in light of this
- C. Keep the investor's investments unchanged to maintain consistency with the client information
- D. Rebalance the investor's portfolio to match the appropriate Investment Dealer model portfolio
Correct Answer: B 🗳️
Explanation: Only visible for Prep4pass members. You can sign-up / login (it's free).
Which of the following best describes the type of market data typically provided by an equity exchange such as the Toronto Stock Exchange (TSX)?
- A. Regulatory filings and continuous disclosure reports
- B. Only historical pricing data from the previous month
- C. Real-time trade prices, bid-ask spreads and trading volumes
- D. Only end-of-day summary prices and trading volumes
Correct Answer: C 🗳️
Explanation: Only visible for Prep4pass members. You can sign-up / login (it's free).
A Registered Representative (RR) is comparing two companies and correctly calculates their interest coverage ratio as below:
Company A: 1.3
Company B: 1.9
Both the companies have the same interest expense during the period. Which of the following is correct with respect to the two companies?
- A. Earnings before Interest and Tax (EBIT) of Company B is higher than the EBIT of Company A
- B. Net Profit Margin % of Company B is higher than Net Profit Margin % of Company A
- C. Total Assets of Company B are higher than Total Assets of Company A
- D. Total Debt of Company B is higher than Total Debt of Company A
Correct Answer: A 🗳️
Explanation: Only visible for Prep4pass members. You can sign-up / login (it's free).
A pension portfolio must fund a known liability in seven years. The manager wants to reduce the effect that interest-rate changes could have on the portfolio's ability to meet that liability. Which fixed-income technique is most appropriate?
- A. Immunization
- B. Growth investing
- C. Market timing
- D. Sector concentration
Correct Answer: A 🗳️
Explanation: Only visible for Prep4pass members. You can sign-up / login (it's free).
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