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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Equities | 18-22% | - Equity securities characteristics and valuation - Risks and taxation considerations of equity investments - Equity markets, trading, and investment strategies |
| Mutual Funds and Exchange-Traded Funds (ETFs) | 20-24% | - ETF structures, trading mechanisms, and characteristics - Mutual fund structures, features, and fees - Fund performance evaluation and suitability considerations |
| Structured Products | 10-14% | - Types and features of structured products - Benefits, risks, and suitability considerations |
| Fixed Income Securities | 18-22% | - Bond pricing, yields, duration, and interest rate risk - Fixed income investment strategies and risks - Fixed income products and market characteristics |
| Know Your Client (KYC), Know Your Product (KYP), and Suitability | 18-22% | - Client objectives, risk tolerance, time horizon, and financial circumstances - Client information gathering and account opening requirements - Suitability assessment and investment recommendations |
| Portfolio Construction and Investment Concepts | 10-14% | - Investment strategies and client portfolio management - Portfolio risk and return concepts - Asset allocation and diversification principles |
CIRO Retail Securities Sample Questions:
An investor wants to make a redemption from a non-registered investment. What are the potential tax consequences?
- A. Redemption of the investment could lead to an increase in the investor's tax-deferred status
- B. The investor may receive a tax deduction for redeeming their investment
- C. Capital gains taxes may apply on any profits realized from the redemption
- D. There are no tax consequences and all the profits are retained by the investor
Correct Answer: C 🗳️
Explanation: Only visible for Exam4Free members. You can sign-up / login (it's free).
Which of the following best summarizes the disclosure requirements for a prospectus?
- A. The company's potential returns for the investment
- B. The company background, management, finances, risks and future plans
- C. The company's business plan, 10-year financial projections and proprietary technology
- D. The company's marketing strategy and customer demographics
Correct Answer: B 🗳️
Explanation: Only visible for Exam4Free members. You can sign-up / login (it's free).
What advantages can an alternative strategy fund offer to a portfolio of main market equity tracker funds?
- A. Amplifying concentration risk in the portfolio
- B. Increasing portfolio liquidity in the long term
- C. Enhancing diversification across asset classes
- D. Providing additional transparency of costs and fees
Correct Answer: C 🗳️
Explanation: Only visible for Exam4Free members. You can sign-up / login (it's free).
A zero-coupon bond will pay $1,000 at maturity in four years and currently trades for $780. What is its approximate annual compound yield?
- A. 4.00%
- B. 6.41%
- C. 5.13%
- D. 7.80%
Correct Answer: B 🗳️
Explanation: Only visible for Exam4Free members. You can sign-up / login (it's free).
A mutual fund has total assets of $84 million, liabilities of $9 million and 3 million units outstanding. What is the fund's net asset value per unit?
- A. $31
- B. $28
- C. $25
- D. $22
Correct Answer: C 🗳️
Explanation: Only visible for Exam4Free members. You can sign-up / login (it's free).
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