CIRO RSE

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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. An institutional-sized client order contains 100,000 shares, but the client wants only 5,000 shares displayed publicly at any time to reduce the order's visible market impact. Which order type is most appropriate?

A) Fill-or-kill order
B) Market-on-open order
C) Iceberg order
D) Sell on-stop order

2. A client is comfortable accepting substantial market volatility and describes their risk tolerance as high.
However, the client plans to use most of the invested funds for a home purchase in 18 months and would be unable to replace a significant loss. Which risk profile should the Registered Representative (RR) use when determining suitability?

A) Low, because the client's risk capacity is lower than their risk tolerance
B) Medium, representing the average of risk tolerance and risk capacity
C) High, because the client has expressly accepted substantial volatility
D) High, provided the recommended investment has sufficient expected return

3. 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) Disclose the conflict and seek Investment Dealer approval before proceeding
C) Decline the transaction and close the client's account
D) Proceed with the investment with the client's written consent if the client is aware of the RR's ownership interest

4. Which of the following actions demonstrates best practice when ensuring the accuracy of client information during the know-your-client (KYC) process?

A) Recording the date of information collection and obtaining confirmation
B) Verifying client information through third-party databases
C) Using predictive models to identify potential inaccuracies
D) Requesting confirmation only when substantial portfolio changes occur

5. An Investment Dealer is redeeming a managed product for a $110,000 gain. Calculate the capital gains tax the investor is liable for if they have a marginal tax rate of 40%?

A) $22,000
B) $60,000
C) $55,000
D) $44,000

Solutions: