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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Fixed Income | Approximately 8.3% | - Interest rate risk - Credit risk - Yield and pricing - Government and corporate bonds |
| Execution and Market Integrity | Approximately 5.8% | - Best execution - Market integrity rules - Order handling |
| Equities | Approximately 10% | - Equity markets - Common and preferred shares - Valuation concepts |
| Managed Products and Other Investments | Approximately 13.3% | - Alternative investments - Exchange-traded funds (ETFs) - Mutual funds - Structured products |
| Securities Analysis | Approximately 11.7% | - Technical analysis - Fundamental analysis - Financial statement interpretation |
| Investment Recommendations | Approximately 11.7% | - Recommendation development - Product selection - Client communication |
| Know-Your-Client (KYC) and Suitability | Approximately 22.5% | - Investment objectives and risk tolerance - Client profile collection and maintenance - Suitability assessment - Regulatory obligations - Know-Your-Product (KYP) |
| Portfolio Construction | Approximately 10.8% | - Asset allocation - Portfolio risk management - Diversification |
| Monitoring, Reporting and Maintaining Client Relationships | Approximately 5.8% | - Client relationship management - Performance reporting - Ongoing suitability review - Account monitoring |
CIRO Retail Securities Sample Questions:
1. A corporation is liquidated after it becomes insolvent. All secured and unsecured creditors have been paid, followed by the full liquidation entitlement of the preferred shareholders. Who is entitled to any assets remaining after these claims?
A) The company's directors
B) The bondholders
C) The preferred shareholders for a second payment
D) The common shareholders
2. 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
B) 15,000
C) 100
D) 150
3. Which feature gives a bondholder the right to require the issuer to redeem the bond at a specified price on specified dates?
A) Sinking-fund feature
B) Puttable feature
C) Callable feature
D) Convertible feature
4. A client contributes a large amount to a managed portfolio shortly before a period of strong market performance. Which return measure is generally more appropriate for evaluating the Portfolio Manager's investment performance independently of the client's contribution timing?
A) Current yield
B) Money-weighted rate of return
C) Dividend payout ratio
D) Time-weighted rate of return
5. Which factor must be considered in an account appropriateness assessment?
A) The client's age and marital status
B) The client's choice of online trading platforms
C) The client's preferred investment regions
D) The client's needs aligned with services and account types
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: D | Question # 3 Answer: B | Question # 4 Answer: D | Question # 5 Answer: D |
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