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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. In the context of investment services, what does the concept of agency refer to?

A) The ability of an Investment Dealer to change a client's risk profile based on market conditions
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 automatic execution of transactions without the client's approval

2. A client instructs an Investment Dealer to purchase 20,000 shares immediately, but only if the entire order can be completed at once. If the full quantity is unavailable, no part of the order should be executed. Which order type best meets the client's instruction?

A) Fill-or-kill order
B) Market order
C) Immediate-or-cancel order
D) Limit order

3. A 45-year-old investor has been working with their Registered Representative (RR) for over a decade. Their portfolio has been structured to prioritize long-term growth with a moderate risk tolerance. Recently, the investor inherited a substantial sum from a relative, significantly increasing their overall net worth. They are now considering early retirement and have expressed interest in shifting their investment strategy. What should the RR do?

A) Rebalance the investor's portfolio to match the appropriate Investment Dealer model portfolio
B) Renew the investor's information and discuss what adjustments should be made in light of this
C) Discourage the investor from withdrawing any funds to protect their long-term investment growth
D) Keep the investor's investments unchanged to maintain consistency with the client information

4. A company repurchases and cancels 10% of its outstanding common shares. If total net income remains unchanged, what is the most likely immediate mathematical effect?

A) Earnings per share increases
B) Earnings per share decreases
C) Total corporate earnings automatically increase by 10%
D) Each remaining shareholder's proportional ownership decreases

5. How does asset class selection for an investment portfolio affect liquidity risk?

A) Investing in private securities generally provides more liquidity than investing in publicly traded stocks
B) Liquidity risk is specific to fixed-income securities and has little impact on equity investments
C) A diversified portfolio with a mix of liquid and illiquid assets helps improve returns while reducing liquidity risk
D) To avoid liquidity risk, all assets in a portfolio should be short-term and traded on a secondary market

Solutions: