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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. An investor contacts a Registered Representative (RR) to purchase a speculative stock that does not align with the investor's low-risk tolerance. What is the RR's primary obligation?

A) Adjust the investor's know-your-client (KYC) profile to justify executing the order
B) Execute the order immediately, because client instructions take priority
C) Explain the risks, document the discussion, and mark the order as unsolicited
D) Inform the investor that the order will not be executed because it is unsuitable

2. What must be calculated when any portion of the money balance in a cash account is overdue by less than 6 business days?

A) The total trading volume of all securities in the account
B) The equity deficiency; net weighted security value minus net cash
C) The total cash balance available in the account
D) The gross amount of all securities in the account

3. An investor requests a portfolio that avoids companies with poor environmental practices but still aims for competitive returns. The Registered Representative (RR) identifies several high-performing companies that do not meet the investor's environmental criteria. What is the most appropriate action?

A) Suggest the investor reconsider their restrictions to allow for higher returns
B) Recommend the high-performing companies based on the greater risk-reward trade-off
C) Advise against the restrictions and emphasize the need to maximize portfolio performance
D) Exclude the companies and build a portfolio that aligns with the investor's personal preference

4. A pension portfolio must fund a known liability in seven years. The manager wants to reduce the effect that interest-rate changes could have on the portfolio's ability to meet that liability. Which fixed-income technique is most appropriate?

A) Growth investing
B) Sector concentration
C) Market timing
D) Immunization

5. How does the liquidity risk of preferred shares compare to common shares and government bonds?

A) They have equal liquidity risk as all are exchange traded
B) They are typically less liquid, leading to wider bid-ask spreads
C) They are highly liquid but suffer from regulatory restrictions on trading volume
D) They are the most liquid security type, offering better price execution

Solutions: