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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. A company issues common shares to fund expansion amid market downturns and rising volatility. Which disadvantage is most significant to the issuer's financial strategy if share dilution reaches 15% and stock prices fall?

A) Lowered debt leverage, because it reduces risk but limits tax benefits
B) Diluted ownership, because it erodes value but supports growth potential
C) Reduced price volatility, because it stabilizes markets but restricts upside
D) Fixed dividend commitments, because they ensure stability but strain cash flow

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

3. Which of the following is a characteristic commonly associated with alternative investment funds?

A) Fixed returns with low volatility
B) High liquidity and short holding periods
C) Protection of the initial investment amount
D) Diversification across various asset classes

4. A client asks a Registered Representative (RR) to invest the client's money in a private company in which the Representative has an ownership interest. What is the most appropriate action for the Representative to take?

A) Recommend the investment only if it aligns with the client's investment objectives and risk profile
B) Decline the transaction and close the client's account
C) Disclose the conflict and seek Investment Dealer approval before proceeding
D) Proceed with the investment with the client's written consent if the client is aware of the RR's ownership interest

5. A Portfolio Manager, while discussing the performance of their strategy, mentioned that the maximum drawdown for the strategy over the last 20 years was 15%. What does this mean for the return of the strategy over the 20 years?

A) The strategy suffered a largest peak-to-trough decline of 15%
B) The strategy declined a total of 15% per year
C) The strategy declined 15% in its worst year
D) The strategy has a 15% probability of loss

Solutions: