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Updated: Sep 27, 2026
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CIRO RSE Exam Overview:
| Certification Vendor: | Canadian Investment Regulatory Organization (CIRO) |
|---|---|
| Exam Name: | Retail Securities Exam |
| Exam Number: | RSE |
| Certificate Validity Period: | No expiration; certification status depends on CIRO registration and continuing education requirements |
| Real Exam Qty: | 120 |
| Exam Format: | Scenario-Based Questions, Multiple Choice Questions, Computer-Based Exam |
| Exam Duration: | 180 minutes |
| Passing Score: | 60% |
| Exam Price: | USD/CAD equivalent not publicly specified by CIRO; approximately CAD $475 |
| Available Languages: | English, French |
| Related Certifications: | Canadian Investment Regulatory Examination (CIRE) |
| Recommended Training: | CIRO Retail Securities Exam Syllabus and Study Materials |
| Exam Registration: | CIRO Exam Hub |
| Sample Questions: | CIRO RSE Sample Questions |
| Exam Way: | Computer-based examination delivered through CIRO-approved exam delivery services. |
| Pre Condition: | Successful completion of the Canadian Investment Regulatory Examination (CIRE) is generally required before taking the Retail Securities Exam for retail representative roles. |
| Official Syllabus URL: | https://www.ciro.ca/registered-individuals/proficiency/exam-hub/retail-securities-exam |
CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Fixed Income Securities | 18-22% | - Fixed income investment strategies and risks - Bond pricing, yields, duration, and interest rate risk - Fixed income products and market characteristics |
| Topic 2: Structured Products | 10-14% | - Types and features of structured products - Benefits, risks, and suitability considerations |
| Topic 3: Mutual Funds and Exchange-Traded Funds (ETFs) | 20-24% | - ETF structures, trading mechanisms, and characteristics - Fund performance evaluation and suitability considerations - Mutual fund structures, features, and fees |
| Topic 4: Portfolio Construction and Investment Concepts | 10-14% | - Investment strategies and client portfolio management - Portfolio risk and return concepts - Asset allocation and diversification principles |
| Topic 5: Equities | 18-22% | - Risks and taxation considerations of equity investments - Equity securities characteristics and valuation - Equity markets, trading, and investment strategies |
| Topic 6: Know Your Client (KYC), Know Your Product (KYP), and Suitability | 18-22% | - Suitability assessment and investment recommendations - Client information gathering and account opening requirements - Client objectives, risk tolerance, time horizon, and financial circumstances |
CIRO Retail Securities Sample Questions:
What is the main driver of the intraday price of an exchange-traded fund (ETF)?
- A. Liquidity from institutional investors
- B. Fund manager's portfolio rebalancing
- C. Daily valuation of assets under management
- D. Supply-demand changes on the exchange
Correct Answer: D 🗳️
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What is the primary purpose of an Investment Dealer's client welcome package?
- A. To provide the necessary paperwork and policies so client can make informed decisions
- B. To document that all suitable investment products have been explained and recommended
- C. To demonstrate client agreement to the Investment Dealer's standard terms and conditions before trading
- D. To establish initial communication and set client expectations of the services and products provided
Correct Answer: A 🗳️
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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. Wash trading
- B. Insider trading
- C. Front running
- D. Best execution
Correct Answer: D 🗳️
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An investor is choosing between two bonds: Bond A with a term to maturity of 2 years and Bond B with a term to maturity of 10 years. If interest rates are expected to rise sharply next year and assuming all other things are equal, which bond should the investor select to minimize interest rate risk?
- A. Bond A, because its shorter term provides higher yield potential
- B. Bond B, because its longer term locks in current rates
- C. Bond B, because its longer term avoids rate fluctuations
- D. Bond A, because its shorter term reduces exposure to rate changes
Correct Answer: D 🗳️
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An investor wants to make a redemption from a non-registered investment. What are the potential tax consequences?
- A. Redemption of the investment could lead to an increase in the investor's tax-deferred status
- B. Capital gains taxes may apply on any profits realized from the redemption
- C. There are no tax consequences and all the profits are retained by the investor
- D. The investor may receive a tax deduction for redeeming their investment
Correct Answer: B 🗳️
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