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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

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

2. Which feature gives a bondholder the right to require the issuer to redeem the bond at a specified price on specified dates?

A) Convertible feature
B) Sinking-fund feature
C) Callable feature
D) Puttable feature

3. An investor is considering purchasing a preferred share that provides a fixed dividend for an extended period, with no set maturity date. Which type of preferred share best meets the investor's considerations?

A) Callable
B) Participating
C) Perpetual
D) Convertible

4. 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 provide timely disclosure of material changes
C) Debt issuers must file audited annual financial statements
D) Debt issuers must include a detailed risk disclosure in their offering documents

5. A client instructs an Investment Dealer to purchase 20,000 shares immediately, but only if the entire order can be completed at once. If the full quantity is unavailable, no part of the order should be executed. Which order type best meets the client's instruction?

A) Fill-or-kill order
B) Immediate-or-cancel order
C) Limit order
D) Market order

Solutions: