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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Fixed Income | Approximately 8.3% | - Government and corporate bonds - Credit risk - Yield and pricing - Interest rate risk |
| Equities | Approximately 10% | - Common and preferred shares - Equity markets - Valuation concepts |
| Portfolio Construction | Approximately 10.8% | - Diversification - Portfolio risk management - Asset allocation |
| Managed Products and Other Investments | Approximately 13.3% | - Alternative investments - Exchange-traded funds (ETFs) - Structured products - Mutual funds |
| Know-Your-Client (KYC) and Suitability | Approximately 22.5% | - Investment objectives and risk tolerance - Suitability assessment - Know-Your-Product (KYP) - Client profile collection and maintenance - Regulatory obligations |
| Securities Analysis | Approximately 11.7% | - Financial statement interpretation - Technical analysis - Fundamental analysis |
| Execution and Market Integrity | Approximately 5.8% | - Best execution - Market integrity rules - Order handling |
| Investment Recommendations | Approximately 11.7% | - Product selection - Client communication - Recommendation development |
| Monitoring, Reporting and Maintaining Client Relationships | Approximately 5.8% | - Client relationship management - Ongoing suitability review - Account monitoring - Performance reporting |
CIRO Retail Securities Sample Questions:
Question 1
An investor nearing retirement is building a portfolio focused on generating predictable income with lower exposure to market fluctuations. They are considering allocating a portion of their funds to preferred shares.
Based on the investor's objectives, what is the primary advantage of including preferred shares in their portfolio?
A. Preferred shares generally pay fixed dividends, offering more predictable income
B. Preferred shares provide guaranteed returns backed by the issuing company
C. Preferred shares give their owners priority in voting decisions, influencing company policy
D. Preferred shares typically offer higher long-term capital gains than common shares
Question 2
A client wants to buy a recreational vehicle costing $25,000 in 3 years. They plan to make deposits of $630 at the start of each month into an investment account. What approximate annualised return is required to achieve their goal?
A. 10%
B. 8%
C. 4%
D. 6%
Question 3
A client sold a portfolio of stocks and realized a capital gain of $10,000 and a capital loss of $4,000. Under the Canadian capital gains tax system, what is the net taxable amount from these transactions?
A. $3,000
B. $5,000
C. $10,000
D. $6,000
Question 4
A Registered Representative posts on a personal social-media account that a particular fund is "guaranteed to earn at least 15% next year." The message was not reviewed through the Dealer's approved communication process. What is the primary compliance concern?
A. The communication may be misleading, unapproved and improperly maintained outside firm channels
B. The only concern is whether the post receives client comments
C. The statement is acceptable because it appears on a personal account
D. The statement is acceptable if the RR genuinely expects a 15% return
Question 5
A company reports net income available to common shareholders of $1,200,000 and declares common dividends of $360,000. What is the dividend payout ratio?
A. 40%
B. 70%
C. 30%
D. 20%
Solutions:
| Question 1 Answer: A | Question 2 Answer: D | Question 3 Answer: A | Question 4 Answer: A | Question 5 Answer: C |
