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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. A client invests $20,000 today in an account earning an annual compound return of 5%. Approximately how much will the investment be worth after six years, assuming no additional deposits or withdrawals?

A) $24,000
B) $30,402
C) $26,802
D) $28,000

2. An Investment Dealer executes a client's trade at a worse price than what was available on another exchange, despite having access to the better option. Which CIRO rule has been violated?

A) Wash trading
B) Front running
C) Best execution
D) Insider trading

3. A company wants to raise capital but prefers to delay equity dilution while still attracting investors interested in potential ownership. Which type of bond is most suitable?

A) Sinking fund bonds
B) Callable bonds
C) Extendable bonds
D) Convertible bonds

4. A company receives an unqualified audit report from its auditors for the last fiscal year. Which of the following statements best reflects what this audit opinion indicates?

A) The company's financial controls were reviewed and found to be efficient and well-documented
B) The company's financial statements conform to the applicable accounting standards and are free of material misstatements
C) The auditors found only minor issues that were resolved without impacting the overall financial results
D) The auditors were able to rely on management's assertions without needing additional independent verification

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) Direct electronic access (DEA) account
D) A balanced mutual fund account composed of a mix of equities and bonds

Solutions: