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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. What is the primary responsibility of an Investment Dealer when considering whether to allow a client to trade on margin?

A) To certify that the client has sufficient funds to cover any potential losses from trading on margin
B) To limit the client's trading activity to avoid unnecessary risk associated with trading on margin
C) To ensure that the client is aware of the risks and benefits associated with trading on margin
D) To provide margin loans at the Investment Dealer's lowest interest rates to capitalize on the leverage

2. A client wants to buy a recreational vehicle costing $25,000 in 3 years. They plan to make deposits of $630 at the start of each month into an investment account. What approximate annualised return is required to achieve their goal?

A) 8%
B) 4%
C) 6%
D) 10%

3. An investor wants to make a redemption from a non-registered investment. What are the potential tax consequences?

A) The investor may receive a tax deduction for redeeming their investment
B) Capital gains taxes may apply on any profits realized from the redemption
C) There are no tax consequences and all the profits are retained by the investor
D) Redemption of the investment could lead to an increase in the investor's tax-deferred status

4. An investor insists on excluding companies with low diversity and inclusion scores from their portfolio. The Registered Representative (RR) identifies that this restriction significantly reduces the number of available investments in the investor's preferred sector. What is the most appropriate action?

A) Respect the restriction and construct a portfolio with reduced diversification
B) Recommend the investor abandon the restriction to access a broader range of investments
C) Override the restriction to ensure adequate diversification and risk management
D) Exclude the restriction but compensate by increasing exposure to other sectors

5. A retail client is 25-year-old with a stable income, a high risk profile and has a good understanding of the securities and the securities market. They wish to open an account that allows them to take responsibility for their own investment decisions and allow them to seek growth opportunities in the securities markets. Under account appropriateness rules, which seems most appropriate?

A) An aggressive growth mutual fund to maximize potential returns
B) Order execution only (OEO) account
C) A balanced mutual fund account composed of a mix of equities and bonds
D) Direct electronic access (DEA) account

Solutions: