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Following are some reference material for actual CIRO RSE exam test

CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. A Registered Representative (RR) experiences a temporary personal cash-flow problem and asks a long- standing client for a short-term loan. The client is willing to provide the loan and does not require interest.
What is the most appropriate action?

A) Do not proceed because borrowing from a client generally creates a prohibited personal financial dealing
B) Proceed after documenting the arrangement in the client's account notes
C) Proceed because the loan is interest-free and the client has voluntarily agreed
D) Proceed if the client signs a conflict-of-interest disclosure

2. A five-year bond has a face value of $1,000, an annual coupon of $60 and a market price of $950. Using the approximate yield-to-maturity formula, what is the bond's approximate yield to maturity?

A) 6.00%
B) 7.18%
C) 7.89%
D) 11.58%

3. A retail client is 25-year-old with a stable income, a high risk profile and has a good understanding of the securities and the securities market. They wish to open an account that allows them to take responsibility for their own investment decisions and allow them to seek growth opportunities in the securities markets. Under account appropriateness rules, which seems most appropriate?

A) A balanced mutual fund account composed of a mix of equities and bonds
B) An aggressive growth mutual fund to maximize potential returns
C) Order execution only (OEO) account
D) Direct electronic access (DEA) account

4. A client controls two accounts and repeatedly buys shares in one account while selling the same number of shares from the other account at the same price. The transactions create apparent trading volume but no genuine change in economic ownership. What activity does this describe?

A) Best execution
B) Legitimate arbitrage
C) Passive market making
D) Wash trading

5. Why are information barriers important in Investment Dealer operations?

A) They allow the Investment Dealer to maintain competitive advantages by keeping trading strategies confidential
B) They reduce operational complexity by preventing departments from coordinating too closely on client service strategies
C) They help limit communication so that only Executives have access to key information for decision- making efficiency
D) They prevent confidential information from being accessed by employees without a legitimate business need

Solutions: