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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

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

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

2. 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) 900 shares trading at approximately $30
B) 900 shares trading at approximately $45
C) 600 shares trading at approximately $30
D) 400 shares trading at approximately $67.50

3. Which valuation approach is the most appropriate to determine if a stock is overvalued or undervalued?

A) Momentum analysis, identifying stocks with strong recent price trends
B) Relative valuation, comparing price-to-earnings (P/E) ratios with industry peers
C) Moving average strategy, tracking the stock's price over time
D) Market sentiment analysis, assessing investor emotions on social media

4. A client purchased a stock for $70 per share. The company's financial condition has since deteriorated, and an updated analysis estimates the shares are worth approximately $42. The client refuses to consider selling until the price returns to $70 because that was the original purchase price. Which behavioural bias is most directly influencing the client?

A) Availability bias
B) Herding bias
C) Survivorship bias
D) Anchoring bias

5. An investor requests a portfolio that avoids companies with poor environmental practices but still aims for competitive returns. The Registered Representative (RR) identifies several high-performing companies that do not meet the investor's environmental criteria. What is the most appropriate action?

A) Advise against the restrictions and emphasize the need to maximize portfolio performance
B) Recommend the high-performing companies based on the greater risk-reward trade-off
C) Exclude the companies and build a portfolio that aligns with the investor's personal preference
D) Suggest the investor reconsider their restrictions to allow for higher returns

Solutions: