CIRO RSE : Retail Securities Exam

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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. A Registered Representative posts on a personal social-media account that a particular fund is "guaranteed to earn at least 15% next year." The message was not reviewed through the Dealer's approved communication process. What is the primary compliance concern?

A) The communication may be misleading, unapproved and improperly maintained outside firm channels
B) The statement is acceptable because it appears on a personal account
C) The only concern is whether the post receives client comments
D) The statement is acceptable if the RR genuinely expects a 15% return

2. A company had a 9% return on its equity and a net profit margin of 5% for this year. If the company had shareholder equity of $5,000,000, what is the company's total revenue for this year?

A) $11,000,000
B) $10,000,000
C) $9,000,000
D) $7,000,000

3. An institutional-sized client order contains 100,000 shares, but the client wants only 5,000 shares displayed publicly at any time to reduce the order's visible market impact. Which order type is most appropriate?

A) Iceberg order
B) Fill-or-kill order
C) Market-on-open order
D) Sell on-stop order

4. 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 gross amount of all securities in the account
C) The total trading volume of all securities in the account
D) The total cash balance available in the account

5. A portfolio earns 11%. The risk-free rate is 3%, the market return is 8%, and the portfolio beta is 1.2. What is the portfolio's Jensen alpha?

A) 0%
B) #2%
C) 5%
D) 2%

Solutions: