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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. A company has total liabilities of $500,000 and total shareholder's equity of $200,000 for the previous year. If the total liabilities grew by 20% and total shareholder's equity grew by 50% in the current year, what is the debt-to-equity ratio for 2025?

A) 1.50
B) 2.50
C) 2.00
D) 3.00

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

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

4. 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) 7.89%
C) 7.18%
D) 11.58%

5. A client's Trusted Contact Person calls the Registered Representative and instructs the RR to sell all securities in the client's account because the client is experiencing memory problems. What should the RR do?

A) Transfer control of the account temporarily to the Trusted Contact Person
B) Decline to accept the trading instruction and follow the firm's procedures for addressing the capacity concern
C) Execute the sale because the Trusted Contact Person is acting to protect the client
D) Execute the sale after obtaining the Trusted Contact Person's written confirmation

Solutions: