Exam Name: Retail Securities Exam
Certification Provider: CIRO
Corresponding Certification: CIRO Registered Representative (RR)
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Updated: Sep 28, 2026
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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Equities | 18–22% | - Equity product features and risks - Trading mechanics and market structure |
| Topic 2: Fixed Income | 18–22% | - GICs and other retail fixed-income products - Bond characteristics and pricing |
| Topic 3: Structured Products | 10–14% | - Product types and risk profiles - Applicable regulatory rules |
| Topic 4: Portfolio Construction and Managed Accounts | 10–14% | - Asset allocation and risk metrics - Registered account types |
| Topic 5: Client Monitoring and Relationship Management | 8–12% | - Complaint handling procedures - Performance reporting and CRM2 |
| Topic 6: Trade Execution and Market Integrity | 8–12% | - Order routing and best execution - Prohibited practices and compliance |
| Topic 7: KYC and Suitability | 20–24% | - Client information collection and updates - Suitability determination and documentation |
| Topic 8: Mutual Funds and ETFs | 20–24% | - Fund structures and disclosure documents - Suitability and sales obligations |
CIRO Retail Securities Sample Questions:
A company has total liabilities of $500,000 and total shareholder's equity of $200,000 for the previous year. If the total liabilities grew by 20% and total shareholder's equity grew by 50% in the current year, what is the debt-to-equity ratio for 2025?
- A. 2.50
- B. 1.50
- C. 3.00
- D. 2.00
Correct Answer: D 🗳️
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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. 9.0%
- B. 12.6%
- C. 11.0%
- D. 7.0%
Correct Answer: C 🗳️
Explanation: Only visible for PassLeader members. You can sign-up / login (it's free).
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. Passive market making
- B. Best execution
- C. Wash trading
- D. Legitimate arbitrage
Correct Answer: C 🗳️
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A company is expected to pay a dividend of $2.40 per share next year. Dividends are expected to grow indefinitely at 3% annually, and the investor's required return is 9%. Using the constant-growth dividend discount model, what is the estimated share value?
- A. $40
- B. $24
- C. $80
- D. $30
Correct Answer: A 🗳️
Explanation: Only visible for PassLeader members. You can sign-up / login (it's free).
Which of the following is a key factor in valuing a manufacturing company's stock?
- A. Production efficiency
- B. Consumer sentiment
- C. Interest rates
- D. Inflation
Correct Answer: A 🗳️
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