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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. A Canadian investor holds investments in a non-registered account. Which type of income may generally qualify for the Canadian dividend gross-up and dividend tax credit mechanism?

A) Dividends from an eligible Canadian corporation
B) Interest from a corporate bond
C) Dividends from a foreign corporation
D) Capital returned to the investor as original principal

2. An investor, tracking shares in a Canadian mining company, learns the firm announces a 1-for-4 stock consolidation to meet exchange requirements. Which statement best captures how this changes their shareholding, considering market reactions?

A) Unchanged shares, maintaining value but facing market doubt
B) Fewer shares, with price rising but possibly unsettling investors
C) More shares, with price dropping but boosting liquidity
D) Higher total value, supporting growth but limiting trading ease

3. A Registered Representative posts on a personal social-media account that a particular fund is "guaranteed to earn at least 15% next year." The message was not reviewed through the Dealer's approved communication process. What is the primary compliance concern?

A) The statement is acceptable if the RR genuinely expects a 15% return
B) The only concern is whether the post receives client comments
C) The statement is acceptable because it appears on a personal account
D) The communication may be misleading, unapproved and improperly maintained outside firm channels

4. In the context of investment services, what does the concept of agency refer to?

A) The legal obligation of an Investment Dealer to act on behalf of a client when executing trades
B) The ability of an Investment Dealer to change a client's risk profile based on market conditions
C) The automatic execution of transactions without the client's approval
D) The requirement for clients to follow investment advice provided by their Investment Dealer

5. An investor insists on excluding companies with low diversity and inclusion scores from their portfolio. The Registered Representative (RR) identifies that this restriction significantly reduces the number of available investments in the investor's preferred sector. What is the most appropriate action?

A) Override the restriction to ensure adequate diversification and risk management
B) Exclude the restriction but compensate by increasing exposure to other sectors
C) Respect the restriction and construct a portfolio with reduced diversification
D) Recommend the investor abandon the restriction to access a broader range of investments

Solutions: