Try CIRO : RSE valid & accurate questions and answers
Updated: Aug 06, 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 |
| Exam Format: | Multiple Choice, Proctored (Remote or In-Person) |
| Passing Score: | Not publicly disclosed |
| Certificate Validity Period: | No standalone certification validity period; proficiency is subject to CIRO registration and continuing education requirements. |
| Real Exam Qty: | 120 |
| Available Languages: | English, French |
| Related Certifications: | Canadian Investment Regulatory Exam (CIRE) |
| Exam Duration: | 180 minutes |
| Exam Price: | Not publicly disclosed |
| Sample Questions: | CIRO RSE Sample Questions |
| Exam Way: | Computer-based, proctored examination available remotely or at an approved testing location. |
| Pre Condition: | Generally intended for individuals pursuing registration as a Retail Registered Representative. Candidates are typically required to complete the Canadian Investment Regulatory Exam (CIRE) before or in accordance with the applicable CIRO proficiency pathway. |
| 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) and Suitability | Approximately 22.5% | - Know-Your-Product (KYP) - Suitability assessment - Regulatory obligations - Client profile collection and maintenance - Investment objectives and risk tolerance |
| Investment Recommendations | Approximately 11.7% | - Client communication - Recommendation development - Product selection |
| Portfolio Construction | Approximately 10.8% | - Portfolio risk management - Asset allocation - Diversification |
| Monitoring, Reporting and Maintaining Client Relationships | Approximately 5.8% | - Client relationship management - Ongoing suitability review - Performance reporting - Account monitoring |
| Execution and Market Integrity | Approximately 5.8% | - Best execution - Market integrity rules - Order handling |
| Equities | Approximately 10% | - Valuation concepts - Equity markets - Common and preferred shares |
| Managed Products and Other Investments | Approximately 13.3% | - Structured products - Exchange-traded funds (ETFs) - Mutual funds - Alternative investments |
| Fixed Income | Approximately 8.3% | - Credit risk - Interest rate risk - Government and corporate bonds - Yield and pricing |
| Securities Analysis | Approximately 11.7% | - Financial statement interpretation - Fundamental analysis - Technical analysis |
CIRO Retail Securities Sample Questions:
1. A company has total liabilities of $500,000 and total shareholder's equity of $200,000 for the previous year. If the total liabilities grew by 20% and total shareholder's equity grew by 50% in the current year, what is the debt-to-equity ratio for 2025?
A) 3.00
B) 2.00
C) 2.50
D) 1.50
2. A client sold a portfolio of stocks and realized a capital gain of $10,000 and a capital loss of $4,000. Under the Canadian capital gains tax system, what is the net taxable amount from these transactions?
A) $10,000
B) $6,000
C) $5,000
D) $3,000
3. A Registered Representative (RR) is managing a client's portfolio and learns about a high-risk investment opportunity that could yield substantial returns. However, the Representative fails to inform the client about the potential downsides of the investment and proceeds with the transaction. Which duty has the Representative failed to uphold?
A) Duty of confidentiality
B) Duty of care
C) Duty to disclose
D) Duty of loyalty
4. Which of the following is a key factor in valuing a manufacturing company's stock?
A) Consumer sentiment
B) Inflation
C) Interest rates
D) Production efficiency
5. What must be calculated when any portion of the money balance in a cash account is overdue by less than 6 business days?
A) The total cash balance available in the account
B) The total trading volume of all securities in the account
C) The gross amount of all securities in the account
D) The equity deficiency; net weighted security value minus net cash
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: D | Question # 3 Answer: C | Question # 4 Answer: D | Question # 5 Answer: D |
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