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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Monitoring and Relationship Management | 8–12% | - Performance reporting and CRM2 - Complaint handling procedures |
| Topic 2: Structured Products | 10–14% | - Applicable regulatory rules - Product types and risk profiles |
| Topic 3: Mutual Funds and ETFs | 20–24% | - Fund structures and disclosure documents - Suitability and sales obligations |
| Topic 4: Fixed Income | 18–22% | - GICs and other retail fixed-income products - Bond characteristics and pricing |
| Topic 5: Trade Execution and Market Integrity | 8–12% | - Prohibited practices and compliance - Order routing and best execution |
| Topic 6: Equities | 18–22% | - Trading mechanics and market structure - Equity product features and risks |
| Topic 7: Portfolio Construction and Managed Accounts | 10–14% | - Registered account types - Asset allocation and risk metrics |
| Topic 8: KYC and Suitability | 20–24% | - Client information collection and updates - Suitability determination and documentation |
CIRO Retail Securities Sample Questions:
Which valuation approach is the most appropriate to determine if a stock is overvalued or undervalued?
- A. Relative valuation, comparing price-to-earnings (P/E) ratios with industry peers
- B. Momentum analysis, identifying stocks with strong recent price trends
- C. Market sentiment analysis, assessing investor emotions on social media
- D. Moving average strategy, tracking the stock's price over time
Correct Answer: A 🗳️
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A Registered Representative (RR) places a large order for a stock in their personal account before placing the same order for a client. What Universal Market Integrity Rules (UMIR) violation is this most likely to be?
- A. Spoofing
- B. Wash trading
- C. Front running
- D. High-frequency trading
Correct Answer: C 🗳️
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A bond has a face value of $1,000, an annual coupon rate of 5.5% and a current market price of $925. What is the bond's current yield?
- A. 9.25%
- B. 6.49%
- C. 5.50%
- D. 5.95%
Correct Answer: D 🗳️
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A Registered Representative (RR) is managing a client's portfolio and learns about a high-risk investment opportunity that could yield substantial returns. However, the Representative fails to inform the client about the potential downsides of the investment and proceeds with the transaction. Which duty has the Representative failed to uphold?
- A. Duty of care
- B. Duty of confidentiality
- C. Duty to disclose
- D. Duty of loyalty
Correct Answer: C 🗳️
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How are cash flows from investing activities typically classified in the statement of cash flows?
- A. They indicate the company's debt servicing
- B. They include purchases and sales of long-term assets
- C. They indicate the issuance of new shares or bonds
- D. They include cash transactions from core operations
Correct Answer: B 🗳️
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