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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. If the beta of a company is 1.8, what can be said with certainty about its risk profile?

A) It has high systematic risk
B) It has low unsystematic risk
C) It has high unsystematic risk
D) It has low systematic risk

2. Ten Canadian depositary receipts (CDRs) represent the economic exposure of one underlying foreign share.
An investor owns 1,500 CDRs. How many underlying-share equivalents does the position represent?

A) 150
B) 15
C) 15,000
D) 100

3. A professional holds separate accounts for safe and risky investments and thinks they need to make the risky account less risky, without considering that the safe account is already doing so. Which bias is this?

A) Herd mentality
B) Mental accounting
C) Loss aversion
D) Overconfidence

4. An investor owns 600 common shares trading at $45 per share. The company declares a 3-for-2 stock split.
Assuming no market movement, what should the investor hold immediately after the split?

A) 600 shares trading at approximately $30
B) 900 shares trading at approximately $30
C) 900 shares trading at approximately $45
D) 400 shares trading at approximately $67.50

5. An investor contacts a Registered Representative (RR) to purchase a speculative stock that does not align with the investor's low-risk tolerance. What is the RR's primary obligation?

A) Inform the investor that the order will not be executed because it is unsuitable
B) Adjust the investor's know-your-client (KYC) profile to justify executing the order
C) Explain the risks, document the discussion, and mark the order as unsolicited
D) Execute the order immediately, because client instructions take priority

Solutions: