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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. A Registered Representative (RR) meets with an investor seeking a low-risk option for retirement savings.
The Representative considers recommending a bond fund. Which step best ensures compliance with know- your-product (KYP) regarding the bond fund's suitability?

A) Comparing the fund's diversification with similar products in the market
B) Reviewing the fund's historical returns to confirm steady performance
C) Assessing the fund's exposure to interest rate fluctuations and credit risks
D) Evaluating the fund's marketing materials for clarity on investment objectives

2. An investor is assessing common shares of a Canadian firm expanding through acquisitions. Which risk should they analyze as most threatening to their investment's value if the firm funds growth by issuing new equity, and why?

A) Share dilution effects, because they reduce ownership stakes
B) Constrained price upside, because it limits capital gains
C) Capped income streams, because they restrict cash flow growth
D) Volatile trading spreads, because they erode transaction gains

3. Ten Canadian depositary receipts (CDRs) represent the economic exposure of one underlying foreign share.
An investor owns 1,500 CDRs. How many underlying-share equivalents does the position represent?

A) 100
B) 15
C) 15,000
D) 150

4. A Registered Representative (RR) places a large order for a stock in their personal account before placing the same order for a client. What Universal Market Integrity Rules (UMIR) violation is this most likely to be?

A) Spoofing
B) High-frequency trading
C) Wash trading
D) Front running

5. A client controls two accounts and repeatedly buys shares in one account while selling the same number of shares from the other account at the same price. The transactions create apparent trading volume but no genuine change in economic ownership. What activity does this describe?

A) Best execution
B) Wash trading
C) Passive market making
D) Legitimate arbitrage

Solutions: