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CIRO Retail Securities : RSE
- Exam Code: RSE
- Exam Name: Retail Securities Exam
- Updated: Aug 21, 2026
- Q & A: 122 Questions and Answers
About CIRO RSE Exam
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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| KYC and Suitability | 20–24% | - Suitability determination and documentation - Client information collection and updates |
| Equities | 18–22% | - Equity product features and risks - Trading mechanics and market structure |
| Structured Products | 10–14% | - Product types and risk profiles - Applicable regulatory rules |
| Client Monitoring and Relationship Management | 8–12% | - Performance reporting and CRM2 - Complaint handling procedures |
| Trade Execution and Market Integrity | 8–12% | - Order routing and best execution - Prohibited practices and compliance |
| Fixed Income | 18–22% | - GICs and other retail fixed-income products - Bond characteristics and pricing |
| Mutual Funds and ETFs | 20–24% | - Fund structures and disclosure documents - Suitability and sales obligations |
| Portfolio Construction and Managed Accounts | 10–14% | - Asset allocation and risk metrics - Registered account types |
CIRO Retail Securities Sample Questions:
1. A company reports net income available to common shareholders of $1,200,000 and declares common dividends of $360,000. What is the dividend payout ratio?
A) 30%
B) 20%
C) 40%
D) 70%
2. A client controls two accounts and repeatedly buys shares in one account while selling the same number of shares from the other account at the same price. The transactions create apparent trading volume but no genuine change in economic ownership. What activity does this describe?
A) Best execution
B) Passive market making
C) Wash trading
D) Legitimate arbitrage
3. The risk-free rate is 4%, the expected market return is 9%, and a security has a beta of 1.4. According to the Capital Asset Pricing Model, what is the security's expected return?
A) 11.0%
B) 9.0%
C) 7.0%
D) 12.6%
4. An investor is considering purchasing a preferred share that provides a fixed dividend for an extended period, with no set maturity date. Which type of preferred share best meets the investor's considerations?
A) Participating
B) Callable
C) Perpetual
D) Convertible
5. A client owns a stock currently trading at $55 and wants the shares sold if the price declines to $50. Once the trigger price is reached, execution is more important than obtaining a specific minimum price. Which order is most appropriate?
A) Sell limit order
B) Fill-or-kill order
C) Sell on-stop order
D) Buy limit order
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: C | Question # 3 Answer: A | Question # 4 Answer: C | Question # 5 Answer: C |
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