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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. Which of the following best reflects the Registered Representative's (RR's) duty when providing the relationship disclosure materials to a retail client?

A) The materials should be provided after the recommendations have been given, should reflect the reason for the recommendation and the RR must request a signed acknowledgement from the client
B) The materials should be provided after the know-your-client (KYC) information has been collected, should reflect that information and the RR should allow the client time to digest and discuss the contents
C) The materials should be provided before the know-your-client (KYC) information is collected, should be used as the basis of collecting that information and the RR should decide the relevant parts to discuss
D) The materials should be provided after each action conducted by the RR, should be used to illustrate how the action is likely to affect the suitability determination and the client must acknowledge receipt

2. A Registered Representative (RR) experiences a temporary personal cash-flow problem and asks a long- standing client for a short-term loan. The client is willing to provide the loan and does not require interest.
What is the most appropriate action?

A) Proceed if the client signs a conflict-of-interest disclosure
B) Proceed after documenting the arrangement in the client's account notes
C) Proceed because the loan is interest-free and the client has voluntarily agreed
D) Do not proceed because borrowing from a client generally creates a prohibited personal financial dealing

3. A Registered Representative (RR) examines a mutual fund's prospectus amid rising market uncertainty and sector shifts. How do mutual funds typically rank volatility to guide investor decisions on risk?

A) Analyzing asset allocation shifts to balance volatility exposure
B) Measuring manager tenure to predict volatility consistency
C) Assessing total fund size as a proxy for volatility stability
D) Evaluating historical performance to gauge volatility trends

4. A client purchased a stock for $70 per share. The company's financial condition has since deteriorated, and an updated analysis estimates the shares are worth approximately $42. The client refuses to consider selling until the price returns to $70 because that was the original purchase price. Which behavioural bias is most directly influencing the client?

A) Availability bias
B) Anchoring bias
C) Herding bias
D) Survivorship bias

5. What is a principal purpose of the Black-Litterman model in portfolio construction?

A) To guarantee that a portfolio will outperform its benchmark
B) To combine market-implied equilibrium returns with the manager's investment views
C) To replace diversification with concentrated stock selection
D) To calculate a bond's current yield from its coupon and price

Solutions: