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CIRO RSE Exam Syllabus Topics:

CIRO Retail Securities Sample Questions:

1. Which characteristic most clearly distinguishes a conventional closed-end fund from an open-end mutual fund?

A) Closed-end fund shares can trade on an exchange at a premium or discount to net asset value
B) Closed-end funds have no management fees or operating expenses
C) Closed-end funds cannot invest in diversified portfolios
D) Closed-end funds are required to redeem investor units daily at net asset value

2. 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) 10%
B) 20%
C) 12%
D) 15%

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

4. What is the main driver of the intraday price of an exchange-traded fund (ETF)?

A) Fund manager's portfolio rebalancing
B) Daily valuation of assets under management
C) Liquidity from institutional investors
D) Supply-demand changes on the exchange

5. A Registered Representative (RR) meets with an investor seeking a low-risk option for retirement savings.
The Representative considers recommending a bond fund. Which step best ensures compliance with know- your-product (KYP) regarding the bond fund's suitability?

A) Evaluating the fund's marketing materials for clarity on investment objectives
B) Assessing the fund's exposure to interest rate fluctuations and credit risks
C) Comparing the fund's diversification with similar products in the market
D) Reviewing the fund's historical returns to confirm steady performance

Solutions: