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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. An investor purchased 800 shares of a company at $15 per share in 2015, with a commission fee of 2% of the total purchase price. In 2019, they sold all 800 shares at $17 per share, incurring a flat commission fee of $40.
What is the investor's taxable capital gain, assuming a 50% inclusion rate?

A) $560
B) $660
C) $800
D) $720

2. A Registered Representative (RR) is invited to an investment seminar on methods of investment strategy used by the sponsoring fund provider. What is the appropriate action for the RR?

A) Accept the invitation and disclose any potential conflicts of interest to the Investment Dealer
B) Decline the invitation and report the fund provider for inappropriately influencing RRs
C) Decline the invitation because they are marketing activities by asset managers to RRs
D) Accept the invitation since it is industry practice to attend sponsored educational events

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 gross amount of all securities in the account
B) The equity deficiency; net weighted security value minus net cash
C) The total cash balance available in the account
D) The total trading volume of all securities in the account

4. Which additional factor is included in the Carhart four-factor model that is not part of the original Fama- French three-factor model?

A) Size
B) Value
C) Momentum
D) Market risk premium

5. A Portfolio Manager, while discussing the performance of their strategy, mentioned that the maximum drawdown for the strategy over the last 20 years was 15%. What does this mean for the return of the strategy over the 20 years?

A) The strategy suffered a largest peak-to-trough decline of 15%
B) The strategy has a 15% probability of loss
C) The strategy declined 15% in its worst year
D) The strategy declined a total of 15% per year

Solutions: