Try and practice the latest CIRO : RSE real questions & answers
Updated: Aug 07, 2026
No. of Questions: 122 Questions & Answers with Testing Engine
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CIRO RSE Exam Overview:
| Certification Vendor: | Canadian Investment Regulatory Organization (CIRO) |
| Exam Name: | Retail Securities Exam |
| Exam Number: | RSE |
| Passing Score: | 60% |
| Exam Format: | Multiple Choice Questions, Computer-Based Exam, Scenario-Based Questions |
| Certificate Validity Period: | No expiration; certification status depends on CIRO registration and continuing education requirements |
| Related Certifications: | Canadian Investment Regulatory Examination (CIRE) |
| Exam Price: | USD/CAD equivalent not publicly specified by CIRO; approximately CAD $475 |
| Exam Duration: | 180 minutes |
| Available Languages: | English, French |
| Real Exam Qty: | 120 |
| Recommended Training: | CIRO Retail Securities Exam Syllabus and Study Materials |
| Exam Registration: | CIRO Exam Hub |
| Sample Questions: | CIRO RSE Sample Questions |
| Exam Way: | Computer-based examination delivered through CIRO-approved exam delivery services. |
| Pre Condition: | Successful completion of the Canadian Investment Regulatory Examination (CIRE) is generally required before taking the Retail Securities Exam for retail representative roles. |
| Official Syllabus URL: | https://www.ciro.ca/registered-individuals/proficiency/exam-hub/retail-securities-exam |
CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Know Your Client (KYC), Know Your Product (KYP), and Suitability | 18-22% | - Suitability assessment and investment recommendations - Client objectives, risk tolerance, time horizon, and financial circumstances - Client information gathering and account opening requirements |
| Equities | 18-22% | - Equity securities characteristics and valuation - Risks and taxation considerations of equity investments - Equity markets, trading, and investment strategies |
| Fixed Income Securities | 18-22% | - Fixed income investment strategies and risks - Fixed income products and market characteristics - Bond pricing, yields, duration, and interest rate risk |
| Structured Products | 10-14% | - Benefits, risks, and suitability considerations - Types and features of structured products |
| Mutual Funds and Exchange-Traded Funds (ETFs) | 20-24% | - Fund performance evaluation and suitability considerations - Mutual fund structures, features, and fees - ETF structures, trading mechanisms, and characteristics |
| Portfolio Construction and Investment Concepts | 10-14% | - Investment strategies and client portfolio management - Asset allocation and diversification principles - Portfolio risk and return concepts |
CIRO Retail Securities Sample Questions:
1. A five-year bond has a face value of $1,000, an annual coupon of $60 and a market price of $950. Using the approximate yield-to-maturity formula, what is the bond's approximate yield to maturity?
A) 6.00%
B) 11.58%
C) 7.18%
D) 7.89%
2. A company reports net income available to common shareholders of $1,200,000 and declares common dividends of $360,000. What is the dividend payout ratio?
A) 70%
B) 20%
C) 30%
D) 40%
3. Which of the following best summarizes the disclosure requirements for a prospectus?
A) The company's business plan, 10-year financial projections and proprietary technology
B) The company's marketing strategy and customer demographics
C) The company's potential returns for the investment
D) The company background, management, finances, risks and future plans
4. An investor is evaluating how high inflation impacts securities prices and market movements. Which of the following outcomes is most consistent with the effects of high inflation on the economy and investor expectations?
A) The purchasing power of money declines, reducing consumer spending and potentially lowering corporate earnings
B) Bond prices increase sharply, because investors favor fixed-income securities during inflationary periods
C) Productivity surges, leading to higher employment and economic growth despite inflationary pressures
D) Stock prices rise significantly, because companies can increase prices without losing customers
5. A client inherited shares from a parent and refuses to sell them even though the holding creates excessive concentration and no longer fits the client's objectives. The client states that the shares are more valuable because they are now "part of the family." Which behavioural bias is most directly demonstrated?
A) Hindsight bias
B) Representativeness bias
C) Gambler's fallacy
D) Endowment effect
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: C | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: D |
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