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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Fixed Income | Approximately 8.3% | - Interest rate risk - Credit risk - Government and corporate bonds - Yield and pricing |
| Monitoring, Reporting and Maintaining Client Relationships | Approximately 5.8% | - Account monitoring - Performance reporting - Client relationship management - Ongoing suitability review |
| Execution and Market Integrity | Approximately 5.8% | - Market integrity rules - Best execution - Order handling |
| Investment Recommendations | Approximately 11.7% | - Product selection - Recommendation development - Client communication |
| Managed Products and Other Investments | Approximately 13.3% | - Structured products - Exchange-traded funds (ETFs) - Mutual funds - Alternative investments |
| Equities | Approximately 10% | - Equity markets - Valuation concepts - Common and preferred shares |
| Know-Your-Client (KYC) and Suitability | Approximately 22.5% | - Investment objectives and risk tolerance - Regulatory obligations - Know-Your-Product (KYP) - Client profile collection and maintenance - Suitability assessment |
| Portfolio Construction | Approximately 10.8% | - Asset allocation - Portfolio risk management - Diversification |
| Securities Analysis | Approximately 11.7% | - Technical analysis - Fundamental analysis - Financial statement interpretation |
CIRO Retail Securities Sample Questions:
Question 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. Explain the risks, document the discussion, and mark the order as unsolicited
C. Execute the order immediately, because client instructions take priority
D. Inform the investor that the order will not be executed because it is unsuitable
Question 2
A client's strategic asset allocation is 60% equities and 40% fixed income. Following a strong equity market, the portfolio becomes 72% equities and 28% fixed income. What action best represents strategic rebalancing?
A. Leave the portfolio unchanged because rebalancing eliminates growth potential
B. Purchase additional equities because they have recently performed well
C. Replace all fixed-income investments with cash
D. Sell part of the equity allocation and purchase fixed-income investments
Question 3
A zero-coupon bond will pay $1,000 at maturity in four years and currently trades for $780. What is its approximate annual compound yield?
A. 5.13%
B. 4.00%
C. 6.41%
D. 7.80%
Question 4
Which characteristic most clearly distinguishes a conventional closed-end fund from an open-end mutual fund?
A. Closed-end funds cannot invest in diversified portfolios
B. Closed-end funds have no management fees or operating expenses
C. Closed-end fund shares can trade on an exchange at a premium or discount to net asset value
D. Closed-end funds are required to redeem investor units daily at net asset value
Question 5
In the context of investment services, what does the concept of agency refer to?
A. The automatic execution of transactions without the client's approval
B. The legal obligation of an Investment Dealer to act on behalf of a client when executing trades
C. The requirement for clients to follow investment advice provided by their Investment Dealer
D. The ability of an Investment Dealer to change a client's risk profile based on market conditions
Solutions:
| Question 1 Answer: B | Question 2 Answer: D | Question 3 Answer: C | Question 4 Answer: C | Question 5 Answer: B |
