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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Equities | 18–22% | - Equity product features and risks - Trading mechanics and market structure |
| Fixed Income | 18–22% | - Bond characteristics and pricing - GICs and other retail fixed-income products |
| Structured Products | 10–14% | - Applicable regulatory rules - Product types and risk profiles |
| KYC and Suitability | 20–24% | - Suitability determination and documentation - Client information collection and updates |
| Mutual Funds and ETFs | 20–24% | - Fund structures and disclosure documents - Suitability and sales obligations |
| Client Monitoring and Relationship Management | 8–12% | - Complaint handling procedures - Performance reporting and CRM2 |
| Trade Execution and Market Integrity | 8–12% | - Order routing and best execution - Prohibited practices and compliance |
| Portfolio Construction and Managed Accounts | 10–14% | - Asset allocation and risk metrics - Registered account types |
CIRO Retail Securities Sample Questions:
1. Which of the following principles is essential for effective portfolio construction?
A) Concentrating investments in a single asset to maximize returns
B) Allocating funds to investments with highest returns
C) Avoiding an asset allocation strategy to maintain flexibility
D) Diversifying across different asset classes to reduce risk
2. What advantages can an alternative strategy fund offer to a portfolio of main market equity tracker funds?
A) Enhancing diversification across asset classes
B) Increasing portfolio liquidity in the long term
C) Amplifying concentration risk in the portfolio
D) Providing additional transparency of costs and fees
3. 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) Ignore product costs because the fund meets the client's risk profile
B) Recommend the proprietary fund automatically because it is approved by the Dealer
C) Transfer every client to a Dealer with an unrestricted product shelf
D) Address the product-shelf limitation and conflict while considering a reasonable range of suitable alternatives
4. A manufacturing company reports annual cost of goods sold of $2,400,000. Its average inventory during the year was $400,000. What is the company's inventory turnover ratio?
A) 5.0 times
B) 6.0 times
C) 8.0 times
D) 4.0 times
5. An investor purchased 800 shares of a company at $15 per share in 2015, with a commission fee of 2% of the total purchase price. In 2019, they sold all 800 shares at $17 per share, incurring a flat commission fee of $40.
What is the investor's taxable capital gain, assuming a 50% inclusion rate?
A) $800
B) $720
C) $660
D) $560
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: B | Question # 5 Answer: C |
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