PDF Version DemoIn recent years, many people choose to take CIRO RSE certification exam which can make you get the CIRO certificate that is the passport to get a better job and get promotions.
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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Portfolio Construction and Managed Accounts | 10–14% | - Registered account types - Asset allocation and risk metrics |
| KYC and Suitability | 20–24% | - Suitability determination and documentation - Client information collection and updates |
| Fixed Income | 18–22% | - GICs and other retail fixed-income products - Bond characteristics and pricing |
| Equities | 18–22% | - Equity product features and risks - Trading mechanics and market structure |
| Structured Products | 10–14% | - Applicable regulatory rules - Product types and risk profiles |
| Mutual Funds and ETFs | 20–24% | - Suitability and sales obligations - Fund structures and disclosure documents |
| Client Monitoring and Relationship Management | 8–12% | - Complaint handling procedures - Performance reporting and CRM2 |
| Trade Execution and Market Integrity | 8–12% | - Prohibited practices and compliance - Order routing and best execution |
CIRO Retail Securities Sample Questions:
1. A managed fund earns a gross return of 8.4% before expenses. Its management expense ratio is 1.9%, and its trading expense ratio is 0.3%. Ignoring taxes and compounding, what approximate return remains for investors after these expenses?
A) 5.9%
B) 6.2%
C) 8.1%
D) 6.5%
2. A mutual fund has total assets of $84 million, liabilities of $9 million and 3 million units outstanding. What is the fund's net asset value per unit?
A) $31
B) $28
C) $22
D) $25
3. An Investment Dealer has completed their investigation of a client's complaint. What is the correct next step?
A) Respond in writing with the investigation results and final decision
B) Discuss with the client as and when they request an update
C) Call the client to discuss the findings with them personally
D) Close the complaint upon completion of the investigation
4. A company is expected to pay a dividend of $2.40 per share next year. Dividends are expected to grow indefinitely at 3% annually, and the investor's required return is 9%. Using the constant-growth dividend discount model, what is the estimated share value?
A) $40
B) $24
C) $80
D) $30
5. A Registered Representative (RR) meets with an investor seeking a low-risk option for retirement savings.
The Representative considers recommending a bond fund. Which step best ensures compliance with know- your-product (KYP) regarding the bond fund's suitability?
A) Assessing the fund's exposure to interest rate fluctuations and credit risks
B) Comparing the fund's diversification with similar products in the market
C) Evaluating the fund's marketing materials for clarity on investment objectives
D) Reviewing the fund's historical returns to confirm steady performance
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: D | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: A |
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