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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Equities | 18-22% | - Equity markets, trading, and investment strategies - Risks and taxation considerations of equity investments - Equity securities characteristics and valuation |
| Fixed Income Securities | 18-22% | - Fixed income investment strategies and risks - Fixed income products and market characteristics - Bond pricing, yields, duration, and interest rate risk |
| Portfolio Construction and Investment Concepts | 10-14% | - Investment strategies and client portfolio management - Asset allocation and diversification principles - Portfolio risk and return concepts |
| Mutual Funds and Exchange-Traded Funds (ETFs) | 20-24% | - Fund performance evaluation and suitability considerations - Mutual fund structures, features, and fees - ETF structures, trading mechanisms, and characteristics |
| Structured Products | 10-14% | - Benefits, risks, and suitability considerations - Types and features of structured products |
| Know Your Client (KYC), Know Your Product (KYP), and Suitability | 18-22% | - Client objectives, risk tolerance, time horizon, and financial circumstances - Suitability assessment and investment recommendations - Client information gathering and account opening requirements |
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 low systematic risk
B) It has low unsystematic risk
C) It has high unsystematic risk
D) It has high systematic risk
2. Which of the following best describes the voting rights of most preferred shareholders?
A) They generally do not have them, but may gain them if dividends remain unpaid
B) They are required to approve any company mergers and acquisitions
C) They can be used on all corporate decisions alongside common shareholder votes
D) They are gained once investors hold shares for a certain period
3. Why is investment time horizon a key factor in portfolio construction?
A) It restricts clients from investing in certain asset classes
B) It determines the client's ability to withstand market fluctuations
C) It ensures that all clients invest in long-term bonds
D) It eliminates the need for periodic portfolio reviews
4. A client controls two accounts and repeatedly buys shares in one account while selling the same number of shares from the other account at the same price. The transactions create apparent trading volume but no genuine change in economic ownership. What activity does this describe?
A) Wash trading
B) Passive market making
C) Best execution
D) Legitimate arbitrage
5. How does the liquidity risk of preferred shares compare to common shares and government bonds?
A) They are highly liquid but suffer from regulatory restrictions on trading volume
B) They are typically less liquid, leading to wider bid-ask spreads
C) They have equal liquidity risk as all are exchange traded
D) They are the most liquid security type, offering better price execution
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: B | Question # 4 Answer: A | Question # 5 Answer: B |
