Exam Name: Retail Securities Exam
Certification Provider: CIRO
Corresponding Certification: CIRO Registered Representative (RR)
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Updated: Sep 28, 2026
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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Execution and Market Integrity | Approximately 5.8% | - Order handling - Best execution - Market integrity rules |
| Topic 2: Investment Recommendations | Approximately 11.7% | - Recommendation development - Product selection - Client communication |
| Topic 3: Equities | Approximately 10% | - Common and preferred shares - Valuation concepts - Equity markets |
| Topic 4: Fixed Income | Approximately 8.3% | - Yield and pricing - Credit risk - Government and corporate bonds - Interest rate risk |
| Topic 5: Portfolio Construction | Approximately 10.8% | - Diversification - Portfolio risk management - Asset allocation |
| Topic 6: Managed Products and Other Investments | Approximately 13.3% | - Mutual funds - Exchange-traded funds (ETFs) - Structured products - Alternative investments |
| Topic 7: Securities Analysis | Approximately 11.7% | - Financial statement interpretation - Technical analysis - Fundamental analysis |
| Topic 8: Monitoring, Reporting and Maintaining Client Relationships | Approximately 5.8% | - Performance reporting - Account monitoring - Client relationship management - Ongoing suitability review |
| Topic 9: Know-Your-Client (KYC) and Suitability | Approximately 22.5% | - Know-Your-Product (KYP) - Regulatory obligations - Client profile collection and maintenance - Investment objectives and risk tolerance - Suitability assessment |
CIRO Retail Securities Sample Questions:
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
Correct Answer: B 🗳️
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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
Correct Answer: A 🗳️
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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
Correct Answer: B 🗳️
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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
Correct Answer: C 🗳️
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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
Correct Answer: A 🗳️
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