CIRO RSE Exam : Retail Securities Exam

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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. How does asset class selection for an investment portfolio affect liquidity risk?

A) To avoid liquidity risk, all assets in a portfolio should be short-term and traded on a secondary market
B) Liquidity risk is specific to fixed-income securities and has little impact on equity investments
C) Investing in private securities generally provides more liquidity than investing in publicly traded stocks
D) A diversified portfolio with a mix of liquid and illiquid assets helps improve returns while reducing liquidity risk

2. A client instructs an Investment Dealer to purchase 20,000 shares immediately, but only if the entire order can be completed at once. If the full quantity is unavailable, no part of the order should be executed. Which order type best meets the client's instruction?

A) Market order
B) Limit order
C) Immediate-or-cancel order
D) Fill-or-kill order

3. An investor, with a low risk tolerance and a short-term investment objective, approaches a Registered Representative (RR) for investment options. Which best fulfills suitability requirements linking this know- your-client (KYC) information to a recommendation?

A) Propose a bond mutual fund to meet the time horizon and liquidity preference
B) Recommend a balanced mutual fund to fulfill income needs and risk capacity
C) Suggest an equity growth fund based on market trends and diversification potential
D) Advise an exchange-traded fund (ETF) after noting investment knowledge and growth interest

4. Which of the following best describes the voting rights of most preferred shareholders?

A) They generally do not have them, but may gain them if dividends remain unpaid
B) They are gained once investors hold shares for a certain period
C) They can be used on all corporate decisions alongside common shareholder votes
D) They are required to approve any company mergers and acquisitions

5. What must be calculated when any portion of the money balance in a cash account is overdue by less than 6 business days?

A) The equity deficiency; net weighted security value minus net cash
B) The total cash balance available in the account
C) The total trading volume of all securities in the account
D) The gross amount of all securities in the account

Solutions: