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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. An Investment Dealer executes a client's trade at a worse price than what was available on another exchange, despite having access to the better option. Which CIRO rule has been violated?

A) Insider trading
B) Best execution
C) Wash trading
D) Front running

2. An Investment Dealer offers primarily proprietary mutual funds. A proprietary fund appears suitable for a client, but comparable non-proprietary funds may have lower costs. What must the Registered Representative do?

A) Recommend the proprietary fund automatically because it is approved by the Dealer
B) Address the product-shelf limitation and conflict while considering a reasonable range of suitable alternatives
C) Transfer every client to a Dealer with an unrestricted product shelf
D) Ignore product costs because the fund meets the client's risk profile

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) Disclose the conflict and seek Investment Dealer approval before proceeding
B) Decline the transaction and close the client's account
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

4. A Registered Representative (RR) places a large order for a stock in their personal account before placing the same order for a client. What Universal Market Integrity Rules (UMIR) violation is this most likely to be?

A) Wash trading
B) Front running
C) High-frequency trading
D) Spoofing

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

Solutions: