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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Portfolio Construction | Approximately 10.8% | - Portfolio risk management - Diversification - Asset allocation |
| Topic 2: Equities | Approximately 10% | - Valuation concepts - Common and preferred shares - Equity markets |
| Topic 3: Execution and Market Integrity | Approximately 5.8% | - Market integrity rules - Order handling - Best execution |
| Topic 4: Investment Recommendations | Approximately 11.7% | - Client communication - Recommendation development - Product selection |
| Topic 5: Know-Your-Client (KYC) and Suitability | Approximately 22.5% | - Investment objectives and risk tolerance - Regulatory obligations - Client profile collection and maintenance - Suitability assessment - Know-Your-Product (KYP) |
| Topic 6: Managed Products and Other Investments | Approximately 13.3% | - Structured products - Exchange-traded funds (ETFs) - Mutual funds - Alternative investments |
| Topic 7: Securities Analysis | Approximately 11.7% | - Fundamental analysis - Technical analysis - Financial statement interpretation |
| Topic 8: Monitoring, Reporting and Maintaining Client Relationships | Approximately 5.8% | - Account monitoring - Ongoing suitability review - Client relationship management - Performance reporting |
| Topic 9: Fixed Income | Approximately 8.3% | - Government and corporate bonds - Yield and pricing - Interest rate risk - Credit risk |
CIRO Retail Securities Sample Questions:
1. An investor is analyzing the MSCI World Index and the S & P 500 Index. What is a key difference between them?
A) The MSCI World Index is price-weighted, while the S & P 500 is an equal-weighted index
B) The MSCI World Index only includes emerging markets, while the S & P 500 focuses on developed markets
C) The MSCI World Index tracks large-cap stocks, while the S & P 500 tracks small-cap stocks
D) The MSCI World Index includes global stocks, while the S & P 500 focuses only on U.S. stocks
2. Which of the following best reflects the Registered Representative's (RR's) duty when providing the relationship disclosure materials to a retail client?
A) The materials should be provided after the recommendations have been given, should reflect the reason for the recommendation and the RR must request a signed acknowledgement from the client
B) The materials should be provided after each action conducted by the RR, should be used to illustrate how the action is likely to affect the suitability determination and the client must acknowledge receipt
C) The materials should be provided after the know-your-client (KYC) information has been collected, should reflect that information and the RR should allow the client time to digest and discuss the contents
D) The materials should be provided before the know-your-client (KYC) information is collected, should be used as the basis of collecting that information and the RR should decide the relevant parts to discuss
3. What must be calculated when any portion of the money balance in a cash account is overdue by less than 6 business days?
A) The total cash balance available in the account
B) The gross amount of all securities in the account
C) The equity deficiency; net weighted security value minus net cash
D) The total trading volume of all securities in the account
4. Which of the following factors is commonly targeted by smart beta strategies?
A) Earnings growth
B) Price volatility
C) Value
D) Market capitalization
5. An investor requests a portfolio that avoids companies with poor environmental practices but still aims for competitive returns. The Registered Representative (RR) identifies several high-performing companies that do not meet the investor's environmental criteria. What is the most appropriate action?
A) Recommend the high-performing companies based on the greater risk-reward trade-off
B) Suggest the investor reconsider their restrictions to allow for higher returns
C) Advise against the restrictions and emphasize the need to maximize portfolio performance
D) Exclude the companies and build a portfolio that aligns with the investor's personal preference
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: C | Question # 3 Answer: C | Question # 4 Answer: C | Question # 5 Answer: D |
