CIRO RSE Practice Test Questions Answers
Exam Code: RSE
(Updated 120 Q&As with Explanation)
Exam Name: Retail Securities Exam
Last Update: 16-Aug-2026
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RSE Overview
CIRO RSE Exam Overview
| Exam Detail | Information |
|---|---|
| Exam Code | RSE |
| Exam Name | Retail Securities Exam |
| Regulator | Canadian Investment Regulatory Organization (CIRO) |
| Related Role | Retail Registered Representative (RR) / Investment Representative (IR) |
| Exam Format | Multiple choice |
| Number of Questions | 120 |
| Exam Duration | 3 hours |
| Delivery | Proctored — remote or in person |
| Attempts Allowed | 3 |
| Primary Focus | Retail investment advice, securities, KYC, suitability, portfolio construction and client relationships |
| Proficiency Model | CIRO's assessment-centric model |
| Passing Score | CIRO does not publish a single minimum passing grade; candidates receive a pass/fail result |
| Preparation | Self-study or preparation through an education provider; mandatory preparatory courses are not required |
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CIRO RSE Exam Topics Breakdown
| Domain | Indicative Questions | Approx. Weight | Key Topics |
|---|---|---|---|
| 1. Know-Your-Client (KYC) & Suitability | 27 | 22.5% | Client information, financial circumstances, investment objectives, risk profile, time horizon, suitability assessment and client relationship requirements |
| 2. Fixed Income | 10 | 8.3% | Fixed-income products, characteristics, risks, pricing, yields and factors affecting fixed-income investments |
| 3. Equities | 12 | 10.0% | Equity characteristics, valuation considerations, risks, company analysis and market factors |
| 4. Securities Analysis | 14 | 11.7% | Macroeconomic, industry, company and technical/statistical analysis |
| 5. Managed Products & Other Investments | 16 | 13.3% | Mutual funds, managed products and other investment products, characteristics, risks and suitability considerations |
| 6. Portfolio Construction | 13 | 10.8% | Asset allocation, diversification, portfolio objectives, risk and return considerations |
| 7. Investment Recommendations | 14 | 11.7% | Developing appropriate recommendations, product selection, costs, client circumstances and suitability |
| 8. Execution & Market Integrity | 7 | 5.8% | Order execution, market integrity, trading practices and applicable requirements |
| 9. Monitoring, Reporting & Maintaining Client Relationships | 7 | 5.8% | Ongoing client monitoring, reporting, account maintenance and continuing relationship obligations |
| Total | 120 | 100% | Complete RSE examination |
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