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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Portfolio Construction and Managed Accounts | 10–14% | - Registered account types - Asset allocation and risk metrics |
| Topic 2: Structured Products | 10–14% | - Applicable regulatory rules - Product types and risk profiles |
| Topic 3: KYC and Suitability | 20–24% | - Suitability determination and documentation - Client information collection and updates |
| Topic 4: Equities | 18–22% | - Equity product features and risks - Trading mechanics and market structure |
| Topic 5: Fixed Income | 18–22% | - Bond characteristics and pricing - GICs and other retail fixed-income products |
| Topic 6: Trade Execution and Market Integrity | 8–12% | - Order routing and best execution - Prohibited practices and compliance |
| Topic 7: Mutual Funds and ETFs | 20–24% | - Fund structures and disclosure documents - Suitability and sales obligations |
| Topic 8: Client Monitoring and Relationship Management | 8–12% | - Complaint handling procedures - Performance reporting and CRM2 |
CIRO Retail Securities Sample Questions:
1. If the beta of a company is 1.8, what can be said with certainty about its risk profile?
A) It has high unsystematic risk
B) It has low unsystematic risk
C) It has low systematic risk
D) It has high systematic risk
2. A company repurchases and cancels 10% of its outstanding common shares. If total net income remains unchanged, what is the most likely immediate mathematical effect?
A) Total corporate earnings automatically increase by 10%
B) Earnings per share decreases
C) Earnings per share increases
D) Each remaining shareholder's proportional ownership decreases
3. An investment portfolio has a gross annual return of 14%, a management fee of 2%, a risk-free rate of 3%, and a standard deviation of 8%. What is the Sharpe ratio after fees?
A) 1.38
B) 1.13
C) 1.22
D) 1.34
4. Why is investment time horizon a key factor in portfolio construction?
A) It ensures that all clients invest in long-term bonds
B) It determines the client's ability to withstand market fluctuations
C) It restricts clients from investing in certain asset classes
D) It eliminates the need for periodic portfolio reviews
5. An Investment Dealer notices a pattern of unsuitable unsolicited trades in an investor's account. What action should the Investment Dealer take?
A) Flag the account for monitoring but take no immediate action unless a complaint arises
B) Cancel past transactions and restrict future trades if the pattern continues
C) Review the Registered Representative's (RR's) documentation and consider intervention if the pattern continues
D) Require the investor to undergo additional suitability assessments before placing future trades
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: C | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: C |
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