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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. Which of the following best describes the voting rights of most preferred shareholders?

A) They can be used on all corporate decisions alongside common shareholder votes
B) They generally do not have them, but may gain them if dividends remain unpaid
C) They are gained once investors hold shares for a certain period
D) They are required to approve any company mergers and acquisitions

2. An Investment Dealer offers primarily proprietary mutual funds. A proprietary fund appears suitable for a client, but comparable non-proprietary funds may have lower costs. What must the Registered Representative do?

A) Ignore product costs because the fund meets the client's risk profile
B) Transfer every client to a Dealer with an unrestricted product shelf
C) Recommend the proprietary fund automatically because it is approved by the Dealer
D) Address the product-shelf limitation and conflict while considering a reasonable range of suitable alternatives

3. A portfolio earns 11%. The risk-free rate is 3%, the market return is 8%, and the portfolio beta is 1.2. What is the portfolio's Jensen alpha?

A) #2%
B) 2%
C) 5%
D) 0%

4. An investor wants to make a redemption from a non-registered investment. What are the potential tax consequences?

A) There are no tax consequences and all the profits are retained by the investor
B) Capital gains taxes may apply on any profits realized from the redemption
C) Redemption of the investment could lead to an increase in the investor's tax-deferred status
D) The investor may receive a tax deduction for redeeming their investment

5. 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) Assessing the fund's exposure to interest rate fluctuations and credit risks
B) Reviewing the fund's historical returns to confirm steady performance
C) Comparing the fund's diversification with similar products in the market
D) Evaluating the fund's marketing materials for clarity on investment objectives

Solutions: