CIRO Retail Securities : RSE

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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. A client purchased a stock for $70 per share. The company's financial condition has since deteriorated, and an updated analysis estimates the shares are worth approximately $42. The client refuses to consider selling until the price returns to $70 because that was the original purchase price. Which behavioural bias is most directly influencing the client?

A) Availability bias
B) Survivorship bias
C) Anchoring bias
D) Herding bias

2. An investor is choosing between two bonds: Bond A with a term to maturity of 2 years and Bond B with a term to maturity of 10 years. If interest rates are expected to rise sharply next year and assuming all other things are equal, which bond should the investor select to minimize interest rate risk?

A) Bond A, because its shorter term reduces exposure to rate changes
B) Bond B, because its longer term locks in current rates
C) Bond B, because its longer term avoids rate fluctuations
D) Bond A, because its shorter term provides higher yield potential

3. 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) 5.13%
B) 7.80%
C) 6.41%
D) 4.00%

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) $55,000
B) $60,000
C) $22,000
D) $44,000

5. Which of the following best reflects the Registered Representative's (RR's) duty when providing the relationship disclosure materials to a retail client?

A) The materials should be provided before the know-your-client (KYC) information is collected, should be used as the basis of collecting that information and the RR should decide the relevant parts to discuss
B) The materials should be provided after the know-your-client (KYC) information has been collected, should reflect that information and the RR should allow the client time to digest and discuss the contents
C) The materials should be provided after each action conducted by the RR, should be used to illustrate how the action is likely to affect the suitability determination and the client must acknowledge receipt
D) The materials should be provided after the recommendations have been given, should reflect the reason for the recommendation and the RR must request a signed acknowledgement from the client

Solutions: