CIRO RSE Exam : Retail Securities Exam

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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. A client owns a stock currently trading at $55 and wants the shares sold if the price declines to $50. Once the trigger price is reached, execution is more important than obtaining a specific minimum price. Which order is most appropriate?

A) Buy limit order
B) Sell limit order
C) Sell on-stop order
D) Fill-or-kill order

2. An Investment Dealer has completed their investigation of a client's complaint. What is the correct next step?

A) Call the client to discuss the findings with them personally
B) Close the complaint upon completion of the investigation
C) Respond in writing with the investigation results and final decision
D) Discuss with the client as and when they request an update

3. An investor, with a low risk tolerance and a short-term investment objective, approaches a Registered Representative (RR) for investment options. Which best fulfills suitability requirements linking this know- your-client (KYC) information to a recommendation?

A) Propose a bond mutual fund to meet the time horizon and liquidity preference
B) Suggest an equity growth fund based on market trends and diversification potential
C) Advise an exchange-traded fund (ETF) after noting investment knowledge and growth interest
D) Recommend a balanced mutual fund to fulfill income needs and risk capacity

4. A Registered Representative (RR) is invited to an investment seminar on methods of investment strategy used by the sponsoring fund provider. What is the appropriate action for the RR?

A) Accept the invitation since it is industry practice to attend sponsored educational events
B) Accept the invitation and disclose any potential conflicts of interest to the Investment Dealer
C) Decline the invitation and report the fund provider for inappropriately influencing RRs
D) Decline the invitation because they are marketing activities by asset managers to RRs

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

Solutions: