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Updated: Sep 02, 2026
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CIRO CIRE Exam Overview:
| Certification Vendor: | Canadian Investment Regulatory Organization (CIRO) |
|---|---|
| Exam Name: | Canadian Investment Regulatory Exam |
| Exam Number: | CIRE |
| Exam Price: | CAD 475 for the first attempt; CAD 300 retake fee for the second and third attempts |
| Exam Format: | Multiple choice, Proctored, Remote online or in person |
| Passing Score: | Not publicly disclosed by CIRO; passing standards are established through psychometric standard-setting and may vary by exam form |
| Certificate Validity Period: | 3 years |
| Related Certifications: | CIRO Registered Representative (RR) - Institutional Securities CIRO Derivatives Exam CIRO Institutional Securities Exam CIRO Registered Representative (RR) - Retail Securities CIRO Registered Representative (RR) - Derivatives CIRO Retail Securities Exam CIRO Investment Representative (IR) |
| Real Exam Qty: | 110 |
| Available Languages: | English, French |
| Exam Duration: | 120 minutes |
| Sample Questions: | CIRO CIRE Sample Questions |
| Exam Way: | Proctored exam delivered remotely online or in person at a test centre. The enrolment period lasts up to 12 months and permits up to three attempts, subject to applicable retake fees. |
| Pre Condition: | Eligibility is governed by CIRO's Exam Enrolment and Attempts Policy. CIRE is a foundational proficiency exam for applicable Investment Dealer Approved Person categories, including Investment Representatives and Registered Representatives. Certain exemptions may apply, including specified prior experience, FINRA registration/proficiency, and recognized CFA Program qualifications. For some registration categories, additional education and/or experience requirements apply. |
| Official Syllabus URL: | https://www.ciro.ca/registered-individuals/proficiency/exam-hub/canadian-investment-regulatory-exam-cire |
CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Derivatives | 5% | - Derivative trading strategies - Listed and over-the-counter derivatives markets - Uses of derivatives - Transactional elements of futures and options - Prohibited derivative trading practices - Options - Futures, forwards, swaps and contracts for difference - Derivative account administration |
| Conflicts of interest and ethics | 15% | - Conflict identification, avoidance, addressing and disclosure - Ethical principles and standards of conduct - Client confidentiality - Cybersecurity and confidential information - Positions of influence - Personal financial dealings with clients - Ethical and legal responsibilities to clients - CIRO and other ethical standards - Information barriers and restricted lists - Ethics and regulatory rules - Managing conflicts of interest - Outside activities of Approved Persons |
| Securities, managed products, mutual funds and other investments | 19% | - Mutual funds - Fixed income investment considerations - Other investments - Market indices - Equities - Equity investment considerations - Pooled products - Exchange-traded funds - Asset classes - Managed products - Fixed income securities and products - Managed product investment considerations |
| Market and company analysis | 8% | - Industry performance analysis - Economic information and indicators - Macroeconomic factors and policies - Technical and statistical analysis tools - Company performance analysis - Company regulation, disclosure and investor rights - Macroeconomic effects on financial markets - Market theories and stock market behaviour - Basic economic theories |
| Client complaint handling and reporting | 5% | - Client issues and potential liability - Investment Dealer complaint reporting obligations - Settlement agreements with clients - Client recourse options - CIRO and provincial regulator roles in complaint handling - Investment Dealer obligations to clients - Complaint policies, procedures and recordkeeping |
| Scope of client relationships | 15% | - Trust, agency and fiduciary duty - Escalation to subject matter experts - Relationship disclosure - Client suitability determination - Investment Representative role and client service - Retail Investment Dealer services - Investment management styles and strategies - Investment performance benchmarks - Clients residing in the United States and other foreign jurisdictions - Institutional client sophistication and suitability exemptions - Suitability exemptions - Product due diligence - Know-your-product requirements - Account appropriateness - Institutional Investment Dealer services - Registered Representative role and client service - Account appropriateness versus suitability |
| Market integrity, trade execution and settlement | 12% | - UMIR gatekeeping obligations - Order confirmation requirements - Margin requirements - Order types - Universal Market Integrity Rules - Order variations, cancellations and corrections - Derivative trading agreements - Gatekeeping for manipulative and deceptive practices - Account types - Reporting obligations - Order entry, trade processing, settlement and delivery - Investment banking, research and corporate finance |
| Prospective client relationships | 10% | - Costs, fees, turnover and taxes - Client relationship model - Investment Dealer onboarding process - Institutional client qualification - Retail client information and risk profile - Accredited investors and exemptions - Retail and institutional clients - Client recordkeeping - Account agreements and welcome documentation - Third parties and professional advisers |
| Overview of Canadian securities regulatory framework | 10% | - Investment Dealer registration and individual approval requirements - Anti-money laundering requirements - Confidentiality, privacy, anti-spam and shareholder rights legislation - Marketplaces and trading venues - Canadian Investor Protection Fund - Other investment industry regulators and agencies - Bank Act and Bankruptcy and Insolvency Act - Clearing agencies - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Role and authority of the Canadian Investment Regulatory Organization - Criminal Code and financial crime |
CIRO Canadian Investment Regulatory Sample Questions:
Question 1
In relation to suitability which of the following is true?
A. There can only be one suitable recommendation balancing client and dealer interests
B. There can only be one suitable recommendation that puts the client's interest first
C. There may be multiple recommendations that prioritize both client and dealer interests
D. There may be multiple suitable recommendations that put the client's interest first
Question 2
What is the purpose of an Investment Dealer obtaining the contact information of a trusted contact person?
A. To address potential concerns regarding financial exploitation of the client
B. To bypass the client's decision-making authority in financial matters
C. To obtain investment advice from the trusted contact person
D. To serve as a legal representative for the client
Question 3
Which of the following best describes the key difference between a call option and a put option in an options contract?
A. A call option buys at a fixed price; a put option gives the holder rights to future dividends
B. A call option allows the holder to buy, while a put option allows the holder to sell, at a fixed price
C. A call option gives the holder the right to sell an asset; a put option allows buying at market price
D. A call option lets the holder sell, and a put option lets the holder buy, an asset at a set price
Question 4
An investor wants to buy $50,000 worth of stock using margin. Their Registered Representative (RR) explains the regulatory requirements for margin to them. Why is it necessary to have margin requirements?
A. To ensure the dealer earns more commission from larger leveraged trades
B. To enable clients to maximize their investment returns using borrowed funds
C. To reduce risk by ensuring investors have sufficient capital for losses
D. To allow investors to trade higher-risk securities without additional funding
Question 5
Which of the following best defines the main objective of fundamental analysis in relation to stock market behavior?
A. To evaluate a company's financial health and intrinsic value
B. To predict short-term price movements based on market sentiment
C. To analyze historical stock prices to forecast future trends
D. To identify stock price movements based on technical chart patterns
Solutions:
| Question 1 Answer: D | Question 2 Answer: A | Question 3 Answer: B | Question 4 Answer: C | Question 5 Answer: A |
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