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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Equities | 18–22% | - Equity product features and risks - Trading mechanics and market structure |
| Topic 2: Client Monitoring and Relationship Management | 8–12% | - Complaint handling procedures - Performance reporting and CRM2 |
| Topic 3: Mutual Funds and ETFs | 20–24% | - Suitability and sales obligations - Fund structures and disclosure documents |
| Topic 4: Portfolio Construction and Managed Accounts | 10–14% | - Registered account types - Asset allocation and risk metrics |
| Topic 5: Fixed Income | 18–22% | - GICs and other retail fixed-income products - Bond characteristics and pricing |
| Topic 6: Structured Products | 10–14% | - Product types and risk profiles - Applicable regulatory rules |
| Topic 7: Trade Execution and Market Integrity | 8–12% | - Order routing and best execution - Prohibited practices and compliance |
| Topic 8: KYC and Suitability | 20–24% | - Suitability determination and documentation - Client information collection and updates |
CIRO Retail Securities Sample Questions:
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. Earnings per share decreases
- B. Earnings per share increases
- C. Total corporate earnings automatically increase by 10%
- D. Each remaining shareholder's proportional ownership decreases
Correct Answer: B 🗳️
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Which of the following principles is essential for effective portfolio construction?
- A. Avoiding an asset allocation strategy to maintain flexibility
- B. Diversifying across different asset classes to reduce risk
- C. Concentrating investments in a single asset to maximize returns
- D. Allocating funds to investments with highest returns
Correct Answer: B 🗳️
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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 statement is acceptable because it appears on a personal account
- B. The statement is acceptable if the RR genuinely expects a 15% return
- C. The communication may be misleading, unapproved and improperly maintained outside firm channels
- D. The only concern is whether the post receives client comments
Correct Answer: C 🗳️
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Which of the following is a requirement under securities regulations for debt issuers in Canadian debt markets?
- A. Debt issuers must provide timely disclosure of material changes
- B. Debt issuers must maintain capital to at least the value of debt in issue
- C. Debt issuers must file audited annual financial statements
- D. Debt issuers must include a detailed risk disclosure in their offering documents
Correct Answer: A 🗳️
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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. Renew the investor's information and discuss what adjustments should be made in light of this
- B. Discourage the investor from withdrawing any funds to protect their long-term investment growth
- C. Rebalance the investor's portfolio to match the appropriate Investment Dealer model portfolio
- D. Keep the investor's investments unchanged to maintain consistency with the client information
Correct Answer: A 🗳️
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