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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) Evaluating the fund's marketing materials for clarity on investment objectives
C) Assessing the fund's exposure to interest rate fluctuations and credit risks
D) Reviewing the fund's historical returns to confirm steady performance

2. An Investment Dealer notices a pattern of unsuitable unsolicited trades in an investor's account. What action should the Investment Dealer take?

A) Require the investor to undergo additional suitability assessments before placing future trades
B) Review the Registered Representative's (RR's) documentation and consider intervention if the pattern continues
C) Cancel past transactions and restrict future trades if the pattern continues
D) Flag the account for monitoring but take no immediate action unless a complaint arises

3. Which feature gives a bondholder the right to require the issuer to redeem the bond at a specified price on specified dates?

A) Convertible feature
B) Callable feature
C) Sinking-fund feature
D) Puttable feature

4. A client's Trusted Contact Person calls the Registered Representative and instructs the RR to sell all securities in the client's account because the client is experiencing memory problems. What should the RR do?

A) Transfer control of the account temporarily to the Trusted Contact Person
B) Execute the sale after obtaining the Trusted Contact Person's written confirmation
C) Execute the sale because the Trusted Contact Person is acting to protect the client
D) Decline to accept the trading instruction and follow the firm's procedures for addressing the capacity concern

5. Why is investment time horizon a key factor in portfolio construction?

A) It eliminates the need for periodic portfolio reviews
B) It restricts clients from investing in certain asset classes
C) It ensures that all clients invest in long-term bonds
D) It determines the client's ability to withstand market fluctuations

Solutions: