CIRO RSE : Retail Securities Exam
- Exam Code: RSE
- Exam Name: Retail Securities Exam
- Updated: Oct 01, 2026
- Q & A: 122 Questions and Answers
About CIRO RSE Exam
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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Fixed Income | 18–22% | - Bond characteristics and pricing - GICs and other retail fixed-income products |
| Structured Products | 10–14% | - Product types and risk profiles - Applicable regulatory rules |
| Trade Execution and Market Integrity | 8–12% | - Order routing and best execution - Prohibited practices and compliance |
| Portfolio Construction and Managed Accounts | 10–14% | - Registered account types - Asset allocation and risk metrics |
| Equities | 18–22% | - Equity product features and risks - Trading mechanics and market structure |
| Client Monitoring and Relationship Management | 8–12% | - Performance reporting and CRM2 - Complaint handling procedures |
| Mutual Funds and ETFs | 20–24% | - Suitability and sales obligations - Fund structures and disclosure documents |
| KYC and Suitability | 20–24% | - Suitability determination and documentation - Client information collection and updates |
CIRO Retail Securities Sample Questions:
Which tax strategy is the most beneficial when recommending investments to maximize client returns?
- A. Focusing on high-dividend stocks to maximize tax credits
- B. Using tax-loss harvesting to offset gains and reduce taxable income
- C. Encouraging frequent trading to capitalize on short-term market gains
- D. Investing in a diverse mix of tax-exempt bonds to eliminate tax liability
Correct Answer: B 🗳️
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A company is expected to pay a dividend of $2.40 per share next year. Dividends are expected to grow indefinitely at 3% annually, and the investor's required return is 9%. Using the constant-growth dividend discount model, what is the estimated share value?
- A. $80
- B. $40
- C. $30
- D. $24
Correct Answer: B 🗳️
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Which of the following actions demonstrates best practice when ensuring the accuracy of client information during the know-your-client (KYC) process?
- A. Verifying client information through third-party databases
- B. Requesting confirmation only when substantial portfolio changes occur
- C. Using predictive models to identify potential inaccuracies
- D. Recording the date of information collection and obtaining confirmation
Correct Answer: D 🗳️
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A Portfolio Manager evaluates a global equity fund focused on large-cap tech stocks in North America, Europe, and Asia, using a broad global bond index as the benchmark. The fund outperformed the benchmark by 4% over the past year. Which statement best reflects the suitability of this benchmark?
- A. It is appropriate although it underperformed the fund, since the goal is to beat any market index
- B. It should only include North American equities, since most tech companies are based there
- C. It is inappropriate because it does not match the fund's investment universe and asset class
- D. It is inappropriate because a market risk-free rate should be used instead
Correct Answer: C 🗳️
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During the year, a company issues $5 million of new bonds and repays $1 million of existing debt principal.
Ignoring all other financing transactions, what net cash flow from financing activities should be reported?
- A. $1 million inflow
- B. $4 million inflow
- C. $6 million inflow
- D. $5 million inflow
Correct Answer: B 🗳️
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