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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. A corporate bond has a coupon rate of 6% and a face value of $10,000. If interest rates in the market rise to
8%, how should an investor adjust their expectations for the bond's annual income compared to selling it today?

A) Expect $600 annually and a sale price above $10,000
B) Expect $600 annually and a sale price below $10,000
C) Expect $800 annually and a sale price below $10,000
D) Expect $800 annually and a sale price at $10,000

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

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

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

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

5. When can a temporary hold be placed on a client's account?

A) When a client delays responding to a trade clarification request
B) When the client's behaviour indicates exploitation or capacity
C) When a client fails to attend an annual review meeting
D) When the client moves new funds into high-risk products

Solutions: