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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. What is the primary purpose of collecting client information as part of the know-your-client (KYC) obligation?

A) To ensure customer preferences are understood for tailored marketing strategies
B) To provide information for ensuring regulatory compliance and risk management
C) To provide internal records and data for inventory management and forecasting
D) To ensure the services and investments provided help meet the client's financial goals

2. An investor contacts a Registered Representative (RR) to purchase a speculative stock that does not align with the investor's low-risk tolerance. What is the RR's primary obligation?

A) Explain the risks, document the discussion, and mark the order as unsolicited
B) Execute the order immediately, because client instructions take priority
C) Adjust the investor's know-your-client (KYC) profile to justify executing the order
D) Inform the investor that the order will not be executed because it is unsuitable

3. A bond has a face value of $1,000, an annual coupon rate of 5.5% and a current market price of $925. What is the bond's current yield?

A) 6.49%
B) 5.50%
C) 5.95%
D) 9.25%

4. A client is considering selling a significant portion of their holding in an S & P/TSX 60 Index exchange- traded fund (ETF) in order to invest in a successful company's stock. What is the most significant risk created by this action?

A) Exposure to a single, potentially more volatile asset
B) Reduction in potential returns against the market
C) Loss through the reversion to mean of the stock
D) The risk of being unable to claim for any capital losses

5. An investment portfolio has a gross annual return of 14%, a management fee of 2%, a risk-free rate of 3%, and a standard deviation of 8%. What is the Sharpe ratio after fees?

A) 1.34
B) 1.22
C) 1.13
D) 1.38

Solutions: