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Updated: Sep 23, 2026
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CIRO RSE Exam Overview:
| Certification Vendor: | Canadian Investment Regulatory Organization (CIRO) |
|---|---|
| Exam Name: | Retail Securities Exam |
| Exam Number: | RSE |
| Exam Price: | Not publicly disclosed |
| Certificate Validity Period: | No standalone certification validity period; proficiency is subject to CIRO registration and continuing education requirements. |
| Real Exam Qty: | 120 |
| Exam Format: | Multiple Choice, Proctored (Remote or In-Person) |
| Passing Score: | Not publicly disclosed |
| Related Certifications: | Canadian Investment Regulatory Exam (CIRE) |
| Available Languages: | English, French |
| Exam Duration: | 180 minutes |
| Sample Questions: | CIRO RSE Sample Questions |
| Exam Way: | Computer-based, proctored examination available remotely or at an approved testing location. |
| Pre Condition: | Generally intended for individuals pursuing registration as a Retail Registered Representative. Candidates are typically required to complete the Canadian Investment Regulatory Exam (CIRE) before or in accordance with the applicable CIRO proficiency pathway. |
| Official Syllabus URL: | https://www.ciro.ca/registered-individuals/proficiency/exam-hub/retail-securities-exam |
CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Execution and Market Integrity | Approximately 5.8% | - Best execution - Market integrity rules - Order handling |
| Fixed Income | Approximately 8.3% | - Government and corporate bonds - Yield and pricing - Credit risk - Interest rate risk |
| Securities Analysis | Approximately 11.7% | - Financial statement interpretation - Fundamental analysis - Technical analysis |
| Investment Recommendations | Approximately 11.7% | - Product selection - Client communication - Recommendation development |
| Managed Products and Other Investments | Approximately 13.3% | - Alternative investments - Mutual funds - Exchange-traded funds (ETFs) - Structured products |
| Portfolio Construction | Approximately 10.8% | - Portfolio risk management - Asset allocation - Diversification |
| Know-Your-Client (KYC) and Suitability | Approximately 22.5% | - Investment objectives and risk tolerance - Know-Your-Product (KYP) - Regulatory obligations - Suitability assessment - Client profile collection and maintenance |
| Monitoring, Reporting and Maintaining Client Relationships | Approximately 5.8% | - Performance reporting - Account monitoring - Ongoing suitability review - Client relationship management |
| Equities | Approximately 10% | - Equity markets - Valuation concepts - Common and preferred shares |
CIRO Retail Securities Sample Questions:
An equity manager is tasked with building a portfolio that is expected to outperform the market over the next several years. The manager identifies companies that are reinvesting their profits to fund rapid expansion, with the expectation that these companies will experience significantly higher earnings growth compared to the market average. The manager is less concerned with the current market price relative to the company's intrinsic value, and more focused on the potential for exponential growth in revenues and earnings.
Given this scenario, which investment strategy does this approach best represent?
- A. Sector rotation
- B. Value investing
- C. Growth investing
- D. Market timing
Correct Answer: C 🗳️
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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. 7.80%
- B. 5.13%
- C. 6.41%
- D. 4.00%
Correct Answer: C 🗳️
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An Investment Dealer is redeeming a managed product for a $110,000 gain. Calculate the capital gains tax the investor is liable for if they have a marginal tax rate of 40%?
- A. $60,000
- B. $22,000
- C. $44,000
- D. $55,000
Correct Answer: B 🗳️
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Why is investment time horizon a key factor in portfolio construction?
- A. It ensures that all clients invest in long-term bonds
- B. It determines the client's ability to withstand market fluctuations
- C. It eliminates the need for periodic portfolio reviews
- D. It restricts clients from investing in certain asset classes
Correct Answer: B 🗳️
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How does the liquidity risk of preferred shares compare to common shares and government bonds?
- A. They have equal liquidity risk as all are exchange traded
- B. They are the most liquid security type, offering better price execution
- C. They are typically less liquid, leading to wider bid-ask spreads
- D. They are highly liquid but suffer from regulatory restrictions on trading volume
Correct Answer: C 🗳️
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