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Updated: Aug 06, 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 Format: | Multiple Choice Questions, Computer-Based Exam, Scenario-Based Questions |
| Real Exam Qty: | 120 |
| Exam Duration: | 180 minutes |
| Available Languages: | English, French |
| Exam Price: | USD/CAD equivalent not publicly specified by CIRO; approximately CAD $475 |
| Certificate Validity Period: | No expiration; certification status depends on CIRO registration and continuing education requirements |
| Related Certifications: | Canadian Investment Regulatory Examination (CIRE) |
| Passing Score: | 60% |
| 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: Mutual Funds and Exchange-Traded Funds (ETFs) | 20-24% | - Fund performance evaluation and suitability considerations - Mutual fund structures, features, and fees - ETF structures, trading mechanisms, and characteristics |
| Topic 2: Know Your Client (KYC), Know Your Product (KYP), and Suitability | 18-22% | - Client objectives, risk tolerance, time horizon, and financial circumstances - Client information gathering and account opening requirements - Suitability assessment and investment recommendations |
| Topic 3: Structured Products | 10-14% | - Benefits, risks, and suitability considerations - Types and features of structured products |
| Topic 4: Portfolio Construction and Investment Concepts | 10-14% | - Asset allocation and diversification principles - Investment strategies and client portfolio management - Portfolio risk and return concepts |
| Topic 5: Equities | 18-22% | - Equity securities characteristics and valuation - Equity markets, trading, and investment strategies - Risks and taxation considerations of equity investments |
| Topic 6: 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 |
CIRO Retail Securities Sample Questions:
1. Which of the following is a requirement under securities regulations for debt issuers in Canadian debt markets?
A) Debt issuers must maintain capital to at least the value of debt in issue
B) Debt issuers must include a detailed risk disclosure in their offering documents
C) Debt issuers must file audited annual financial statements
D) Debt issuers must provide timely disclosure of material changes
2. An Investment Dealer offers primarily proprietary mutual funds. A proprietary fund appears suitable for a client, but comparable non-proprietary funds may have lower costs. What must the Registered Representative do?
A) Transfer every client to a Dealer with an unrestricted product shelf
B) Ignore product costs because the fund meets the client's risk profile
C) Address the product-shelf limitation and conflict while considering a reasonable range of suitable alternatives
D) Recommend the proprietary fund automatically because it is approved by the Dealer
3. A client is comfortable accepting substantial market volatility and describes their risk tolerance as high.
However, the client plans to use most of the invested funds for a home purchase in 18 months and would be unable to replace a significant loss. Which risk profile should the Registered Representative (RR) use when determining suitability?
A) Low, because the client's risk capacity is lower than their risk tolerance
B) Medium, representing the average of risk tolerance and risk capacity
C) High, because the client has expressly accepted substantial volatility
D) High, provided the recommended investment has sufficient expected return
4. A company reports net income available to common shareholders of $1,200,000 and declares common dividends of $360,000. What is the dividend payout ratio?
A) 30%
B) 70%
C) 40%
D) 20%
5. Which valuation approach is the most appropriate to determine if a stock is overvalued or undervalued?
A) Market sentiment analysis, assessing investor emotions on social media
B) Moving average strategy, tracking the stock's price over time
C) Relative valuation, comparing price-to-earnings (P/E) ratios with industry peers
D) Momentum analysis, identifying stocks with strong recent price trends
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: C | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: C |
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