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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Equities | 18-22% | - Risks and taxation considerations of equity investments - Equity markets, trading, and investment strategies - Equity securities characteristics and valuation |
| Topic 2: Know Your Client (KYC), Know Your Product (KYP), and Suitability | 18-22% | - Client information gathering and account opening requirements - Client objectives, risk tolerance, time horizon, and financial circumstances - Suitability assessment and investment recommendations |
| Topic 3: Mutual Funds and Exchange-Traded Funds (ETFs) | 20-24% | - ETF structures, trading mechanisms, and characteristics - Fund performance evaluation and suitability considerations - Mutual fund structures, features, and fees |
| Topic 4: Portfolio Construction and Investment Concepts | 10-14% | - Asset allocation and diversification principles - Investment strategies and client portfolio management - Portfolio risk and return concepts |
| Topic 5: Structured Products | 10-14% | - Types and features of structured products - Benefits, risks, and suitability considerations |
| Topic 6: Fixed Income Securities | 18-22% | - Fixed income products and market characteristics - Bond pricing, yields, duration, and interest rate risk - Fixed income investment strategies and risks |
CIRO Retail Securities Sample Questions:
When can a temporary hold be placed on a client's account?
- A. When a client fails to attend an annual review meeting
- B. When a client delays responding to a trade clarification request
- C. When the client moves new funds into high-risk products
- D. When the client's behaviour indicates exploitation or capacity
Correct Answer: D 🗳️
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An Investment Dealer offers primarily proprietary mutual funds. A proprietary fund appears suitable for a client, but comparable non-proprietary funds may have lower costs. What must the Registered Representative do?
- A. Transfer every client to a Dealer with an unrestricted product shelf
- B. Ignore product costs because the fund meets the client's risk profile
- C. Address the product-shelf limitation and conflict while considering a reasonable range of suitable alternatives
- D. Recommend the proprietary fund automatically because it is approved by the Dealer
Correct Answer: C 🗳️
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A leveraged ETF seeks to provide twice the daily return of an equity index. The index rises and falls sharply over several trading days but finishes the period near its starting value. Which statement is most accurate?
- A. The ETF must also finish near its starting value
- B. Daily compounding may cause the ETF's multi-day return to differ substantially from twice the index return
- C. The ETF eliminates market risk through leverage
- D. The ETF must earn exactly twice the index's total multi-day return
Correct Answer: B 🗳️
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An investor, with a low risk tolerance and a short-term investment objective, approaches a Registered Representative (RR) for investment options. Which best fulfills suitability requirements linking this know- your-client (KYC) information to a recommendation?
- A. Advise an exchange-traded fund (ETF) after noting investment knowledge and growth interest
- B. Suggest an equity growth fund based on market trends and diversification potential
- C. Recommend a balanced mutual fund to fulfill income needs and risk capacity
- D. Propose a bond mutual fund to meet the time horizon and liquidity preference
Correct Answer: D 🗳️
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A portfolio earns 11%. The risk-free rate is 3%, the market return is 8%, and the portfolio beta is 1.2. What is the portfolio's Jensen alpha?
- A. #2%
- B. 2%
- C. 0%
- D. 5%
Correct Answer: B 🗳️
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