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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. 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

2. A client is comfortable accepting substantial market volatility and describes their risk tolerance as high.
However, the client plans to use most of the invested funds for a home purchase in 18 months and would be unable to replace a significant loss. Which risk profile should the Registered Representative (RR) use when determining suitability?

A) High, because the client has expressly accepted substantial volatility
B) High, provided the recommended investment has sufficient expected return
C) Medium, representing the average of risk tolerance and risk capacity
D) Low, because the client's risk capacity is lower than their risk tolerance

3. When can a temporary hold be placed on a client's account?

A) When the client moves new funds into high-risk products
B) When a client delays responding to a trade clarification request
C) When a client fails to attend an annual review meeting
D) When the client's behaviour indicates exploitation or capacity

4. A client contributes a large amount to a managed portfolio shortly before a period of strong market performance. Which return measure is generally more appropriate for evaluating the Portfolio Manager's investment performance independently of the client's contribution timing?

A) Money-weighted rate of return
B) Time-weighted rate of return
C) Current yield
D) Dividend payout ratio

5. A company had a 9% return on its equity and a net profit margin of 5% for this year. If the company had shareholder equity of $5,000,000, what is the company's total revenue for this year?

A) $11,000,000
B) $10,000,000
C) $9,000,000
D) $7,000,000

Solutions: