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Updated: Oct 02, 2026
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CIRO RSE Exam Overview:
| Certification Vendor: | Canadian Investment Regulatory Organization (CIRO) |
|---|---|
| Exam Name: | Retail Securities Exam |
| Exam Number: | RSE |
| Related Certifications: | Canadian Investment Regulatory Examination (CIRE) |
| Exam Duration: | 180 minutes |
| Real Exam Qty: | 120 |
| Exam Price: | USD/CAD equivalent not publicly specified by CIRO; approximately CAD $475 |
| Passing Score: | 60% |
| Exam Format: | Multiple Choice Questions, Computer-Based Exam, Scenario-Based Questions |
| Available Languages: | French, English |
| Certificate Validity Period: | No expiration; certification status depends on CIRO registration and continuing education requirements |
| 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: Equities | 18-22% | - Equity securities characteristics and valuation - Risks and taxation considerations of equity investments - Equity markets, trading, and investment strategies |
| Topic 2: Structured Products | 10-14% | - Benefits, risks, and suitability considerations - Types and features of structured products |
| Topic 3: Portfolio Construction and Investment Concepts | 10-14% | - Asset allocation and diversification principles - Portfolio risk and return concepts - Investment strategies and client portfolio management |
| Topic 4: Know Your Client (KYC), Know Your Product (KYP), and Suitability | 18-22% | - Client information gathering and account opening requirements - Client objectives, risk tolerance, time horizon, and financial circumstances - Suitability assessment and investment recommendations |
| Topic 5: Fixed Income Securities | 18-22% | - Fixed income investment strategies and risks - Fixed income products and market characteristics - Bond pricing, yields, duration, and interest rate risk |
| Topic 6: 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 |
CIRO Retail Securities Sample Questions:
A pension portfolio must fund a known liability in seven years. The manager wants to reduce the effect that interest-rate changes could have on the portfolio's ability to meet that liability. Which fixed-income technique is most appropriate?
- A. Sector concentration
- B. Immunization
- C. Growth investing
- D. Market timing
Correct Answer: B 🗳️
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An investor, a retiree seeking steady income and global diversification through managed products, is wary of transparency issues and unexpected losses. Which of the following statements best captures a key advantage and a key disadvantage of managed products for achieving these goals?
- A. Delivers consistent income but may obscure holdings details
- B. Reduces loss potential but restricts geographic exposure
- C. Enhances diversification while limiting income flexibility
- D. Provides global reach yet risks losses from currency fluctuations
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 B, because its longer term avoids rate fluctuations
- B. Bond A, because its shorter term reduces exposure to rate changes
- C. Bond B, because its longer term locks in current rates
- D. Bond A, because its shorter term provides higher yield potential
Correct Answer: B 🗳️
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A new client of a Registered Representative (RR) has transferred their portfolio to the Investment Dealer to seek better recommendations. The RR notices that the client has naïvely diversified their portfolio rather than efficiently doing so. What does this mean?
- A. The client set up an equally weighted portfolio but has not rebalanced it since construction
- B. The client has different weightings in assets depending on returns rather than equal weighting
- C. The client has lots of different assets but not considered the correlations between those assets
- D. The client has chosen lots of diversified funds rather than focus on individual company shares
Correct Answer: C 🗳️
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An investor purchased 800 shares of a company at $15 per share in 2015, with a commission fee of 2% of the total purchase price. In 2019, they sold all 800 shares at $17 per share, incurring a flat commission fee of $40.
What is the investor's taxable capital gain, assuming a 50% inclusion rate?
- A. $660
- B. $800
- C. $560
- D. $720
Correct Answer: A 🗳️
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