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CIRO RSE Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Equities	18–22%	- Trading mechanics and market structure - Equity product features and risks
Topic 2: KYC and Suitability	20–24%	- Client information collection and updates - Suitability determination and documentation
Topic 3: Mutual Funds and ETFs	20–24%	- Fund structures and disclosure documents - Suitability and sales obligations
Topic 4: Structured Products	10–14%	- Applicable regulatory rules - Product types and risk profiles
Topic 5: Fixed Income	18–22%	- GICs and other retail fixed-income products - Bond characteristics and pricing
Topic 6: Portfolio Construction and Managed Accounts	10–14%	- Asset allocation and risk metrics - Registered account types
Topic 7: Client Monitoring and Relationship Management	8–12%	- Complaint handling procedures - Performance reporting and CRM2
Topic 8: Trade Execution and Market Integrity	8–12%	- Order routing and best execution - Prohibited practices and compliance

CIRO Retail Securities Sample Questions:

1. What are the disadvantages of a private placement of securities?

A) Regulatory oversight
B) Limited liquidity
C) Broad investor base
D) Higher costs

2. Which of the following is a characteristic commonly associated with alternative investment funds?

A) Protection of the initial investment amount
B) Diversification across various asset classes
C) Fixed returns with low volatility
D) High liquidity and short holding periods

3. A new client of a Registered Representative (RR) has transferred their portfolio to the Investment Dealer to seek better recommendations. The RR notices that the client has naïvely diversified their portfolio rather than efficiently doing so. What does this mean?

A) The client has chosen lots of diversified funds rather than focus on individual company shares
B) The client has different weightings in assets depending on returns rather than equal weighting
C) The client has lots of different assets but not considered the correlations between those assets
D) The client set up an equally weighted portfolio but has not rebalanced it since construction

4. A client owns a stock currently trading at $55 and wants the shares sold if the price declines to $50. Once the trigger price is reached, execution is more important than obtaining a specific minimum price. Which order is most appropriate?

A) Sell on-stop order
B) Sell limit order
C) Fill-or-kill order
D) Buy limit order

5. A client inherited shares from a parent and refuses to sell them even though the holding creates excessive concentration and no longer fits the client's objectives. The client states that the shares are more valuable because they are now "part of the family." Which behavioural bias is most directly demonstrated?

A) Representativeness bias
B) Gambler's fallacy
C) Endowment effect
D) Hindsight bias

Solutions:

Question # 1
Answer: B

Question # 2
Answer: B

Question # 3
Answer: C

Question # 4
Answer: A

Question # 5
Answer: C