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Updated: Aug 08, 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 Exam (CIRE) |
| Exam Price: | Not publicly disclosed |
| Exam Duration: | 180 minutes |
| Passing Score: | Not publicly disclosed |
| Real Exam Qty: | 120 |
| Exam Format: | Multiple Choice, Proctored (Remote or In-Person) |
| Available Languages: | English, French |
| Certificate Validity Period: | No standalone certification validity period; proficiency is subject to CIRO registration and continuing education requirements. |
| 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 |
|---|---|---|
| Know-Your-Client (KYC) and Suitability | Approximately 22.5% | - Suitability assessment - Investment objectives and risk tolerance - Know-Your-Product (KYP) - Client profile collection and maintenance - Regulatory obligations |
| Monitoring, Reporting and Maintaining Client Relationships | Approximately 5.8% | - Performance reporting - Account monitoring - Client relationship management - Ongoing suitability review |
| Equities | Approximately 10% | - Common and preferred shares - Equity markets - Valuation concepts |
| Fixed Income | Approximately 8.3% | - Yield and pricing - Government and corporate bonds - Interest rate risk - Credit risk |
| Investment Recommendations | Approximately 11.7% | - Client communication - Recommendation development - Product selection |
| Managed Products and Other Investments | Approximately 13.3% | - Mutual funds - Structured products - Exchange-traded funds (ETFs) - Alternative investments |
| Portfolio Construction | Approximately 10.8% | - Asset allocation - Diversification - Portfolio risk management |
| Securities Analysis | Approximately 11.7% | - Financial statement interpretation - Technical analysis - Fundamental analysis |
| Execution and Market Integrity | Approximately 5.8% | - Order handling - Best execution - Market integrity rules |
CIRO Retail Securities Sample Questions:
1. What is the expected return of a portfolio of investments if the risk-free rate is 5%, beta is 2.0, portfolio variance is 15% and market rate of return is 10%?
A) 12%
B) 15%
C) 10%
D) 20%
2. A Registered Representative (RR) places a large order for a stock in their personal account before placing the same order for a client. What Universal Market Integrity Rules (UMIR) violation is this most likely to be?
A) Spoofing
B) Wash trading
C) High-frequency trading
D) Front running
3. A Registered Representative (RR) experiences a temporary personal cash-flow problem and asks a long- standing client for a short-term loan. The client is willing to provide the loan and does not require interest.
What is the most appropriate action?
A) Proceed if the client signs a conflict-of-interest disclosure
B) Proceed because the loan is interest-free and the client has voluntarily agreed
C) Proceed after documenting the arrangement in the client's account notes
D) Do not proceed because borrowing from a client generally creates a prohibited personal financial dealing
4. 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) $44,000
B) $55,000
C) $22,000
D) $60,000
5. A company has total liabilities of $500,000 and total shareholder's equity of $200,000 for the previous year. If the total liabilities grew by 20% and total shareholder's equity grew by 50% in the current year, what is the debt-to-equity ratio for 2025?
A) 3.00
B) 1.50
C) 2.00
D) 2.50
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: C |
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