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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Know Your Client (KYC), Know Your Product (KYP), and Suitability | 18-22% | - Client information gathering and account opening requirements - Suitability assessment and investment recommendations - Client objectives, risk tolerance, time horizon, and financial circumstances |
| 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 |
| Structured Products | 10-14% | - Types and features of structured products - Benefits, risks, and suitability considerations |
| Mutual Funds and Exchange-Traded Funds (ETFs) | 20-24% | - Fund performance evaluation and suitability considerations - ETF structures, trading mechanisms, and characteristics - Mutual fund structures, features, and fees |
| Portfolio Construction and Investment Concepts | 10-14% | - Investment strategies and client portfolio management - Asset allocation and diversification principles - Portfolio risk and return concepts |
CIRO Retail Securities Sample Questions:
1. Ten Canadian depositary receipts (CDRs) represent the economic exposure of one underlying foreign share.
An investor owns 1,500 CDRs. How many underlying-share equivalents does the position represent?
A) 15,000
B) 100
C) 150
D) 15
2. During the year, a company issues $5 million of new bonds and repays $1 million of existing debt principal.
Ignoring all other financing transactions, what net cash flow from financing activities should be reported?
A) $5 million inflow
B) $6 million inflow
C) $4 million inflow
D) $1 million inflow
3. 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) Sector concentration
B) Growth investing
C) Market timing
D) Immunization
4. A company reports net income available to common shareholders of $1,200,000 and declares common dividends of $360,000. What is the dividend payout ratio?
A) 30%
B) 20%
C) 40%
D) 70%
5. Why is investment time horizon a key factor in portfolio construction?
A) It determines the client's ability to withstand market fluctuations
B) It eliminates the need for periodic portfolio reviews
C) It ensures that all clients invest in long-term bonds
D) It restricts clients from investing in certain asset classes
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: C | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: A |
