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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 |
| Related Certifications: | Canadian Investment Regulatory Exam (CIRE) |
| Exam Price: | Not publicly disclosed |
| Real Exam Qty: | 120 |
| Certificate Validity Period: | No standalone certification validity period; proficiency is subject to CIRO registration and continuing education requirements. |
| Available Languages: | English, French |
| Exam Duration: | 180 minutes |
| Exam Format: | Multiple Choice, Proctored (Remote or In-Person) |
| Passing Score: | Not publicly disclosed |
| 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 |
|---|---|---|
| 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 |
| Investment Recommendations | Approximately 11.7% | - Product selection - Recommendation development - Client communication |
| Monitoring, Reporting and Maintaining Client Relationships | Approximately 5.8% | - Ongoing suitability review - Account monitoring - Performance reporting - Client relationship management |
| Managed Products and Other Investments | Approximately 13.3% | - Structured products - Exchange-traded funds (ETFs) - Mutual funds - Alternative investments |
| Fixed Income | Approximately 8.3% | - Yield and pricing - Government and corporate bonds - Interest rate risk - Credit risk |
| Portfolio Construction | Approximately 10.8% | - Diversification - Portfolio risk management - Asset allocation |
| Equities | Approximately 10% | - Common and preferred shares - Valuation concepts - Equity markets |
| Know-Your-Client (KYC) and Suitability | Approximately 22.5% | - Client profile collection and maintenance - Investment objectives and risk tolerance - Suitability assessment - Know-Your-Product (KYP) - Regulatory obligations |
CIRO Retail Securities Sample Questions:
1. 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 after documenting the arrangement in the client's account notes
B) Do not proceed because borrowing from a client generally creates a prohibited personal financial dealing
C) Proceed if the client signs a conflict-of-interest disclosure
D) Proceed because the loan is interest-free and the client has voluntarily agreed
2. The risk-free rate is 4%, the expected market return is 9%, and a security has a beta of 1.4. According to the Capital Asset Pricing Model, what is the security's expected return?
A) 7.0%
B) 11.0%
C) 12.6%
D) 9.0%
3. A company issues common shares to fund expansion amid market downturns and rising volatility. Which disadvantage is most significant to the issuer's financial strategy if share dilution reaches 15% and stock prices fall?
A) Diluted ownership, because it erodes value but supports growth potential
B) Lowered debt leverage, because it reduces risk but limits tax benefits
C) Reduced price volatility, because it stabilizes markets but restricts upside
D) Fixed dividend commitments, because they ensure stability but strain cash flow
4. 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) Growth investing
B) Sector concentration
C) Immunization
D) Market timing
5. An investor contacts a Registered Representative (RR) to purchase a speculative stock that does not align with the investor's low-risk tolerance. What is the RR's primary obligation?
A) Execute the order immediately, because client instructions take priority
B) Adjust the investor's know-your-client (KYC) profile to justify executing the order
C) Inform the investor that the order will not be executed because it is unsuitable
D) Explain the risks, document the discussion, and mark the order as unsolicited
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: B | Question # 3 Answer: A | Question # 4 Answer: C | Question # 5 Answer: D |
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