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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. An investor expects short-term market interest rates to rise and wants a bond whose coupon income will adjust periodically with prevailing rates. Which instrument best meets this objective?

A) Strip bond
B) Zero-coupon bond
C) Floating-rate bond
D) Fixed-rate perpetual bond

2. A zero-coupon bond will pay $1,000 at maturity in four years and currently trades for $780. What is its approximate annual compound yield?

A) 6.41%
B) 7.80%
C) 4.00%
D) 5.13%

3. A Registered Representative posts on a personal social-media account that a particular fund is "guaranteed to earn at least 15% next year." The message was not reviewed through the Dealer's approved communication process. What is the primary compliance concern?

A) The communication may be misleading, unapproved and improperly maintained outside firm channels
B) The statement is acceptable if the RR genuinely expects a 15% return
C) The only concern is whether the post receives client comments
D) The statement is acceptable because it appears on a personal account

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

5. A Portfolio Manager, while discussing the performance of their strategy, mentioned that the maximum drawdown for the strategy over the last 20 years was 15%. What does this mean for the return of the strategy over the 20 years?

A) The strategy has a 15% probability of loss
B) The strategy declined 15% in its worst year
C) The strategy declined a total of 15% per year
D) The strategy suffered a largest peak-to-trough decline of 15%

Solutions: