CIRO : CIRE Questions & Answers

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CIRO CIRE Exam Syllabus Topics:

CIRO Canadian Investment Regulatory Sample Questions:

1. What is the Investment Dealer's obligation regarding cost discussions for deferred sales charge products?

A) Disclose the deferred charges when they are going to be triggered
B) Explain upfront the potential charges triggered by early redemption
C) Avoid discussing deferred charges as they are managed by the fund provider
D) Deferred sales charges only apply to institutional clients

2. A risk-averse investor is considering investing in preferred shares. What is one key feature of preferred shares that may appeal to such investors?

A) Preferred shares guarantee the highest potential for capital gains among all equity investments
B) Preferred shares offer no risk of dividend suspension under any market conditions
C) Preferred shares typically pay fixed dividends and provide significant voting rights to shareholders
D) Preferred shares provide fixed dividends and have a priority claim on company assets over common shares

3. Which of the following best describes the key difference between a call option and a put option in an options contract?

A) A call option gives the holder the right to sell an asset; a put option allows buying at market price
B) A call option lets the holder sell, and a put option lets the holder buy, an asset at a set price
C) A call option allows the holder to buy, while a put option allows the holder to sell, at a fixed price
D) A call option buys at a fixed price; a put option gives the holder rights to future dividends

4. It is a requirement to adhere to the CIRO standards of conduct. Which of the following may be conduct that contravenes one or more of these standards?

A) Engaging in any business conduct that is unbecoming
B) Acting in accordance with just and equitable principles
C) A reasonable departure from standards that are expected
D) Observing high standards of ethics and conduct

5. An investor wants to buy $50,000 worth of stock using margin. Their Registered Representative (RR) explains the regulatory requirements for margin to them. Why is it necessary to have margin requirements?

A) To ensure the dealer earns more commission from larger leveraged trades
B) To reduce risk by ensuring investors have sufficient capital for losses
C) To enable clients to maximize their investment returns using borrowed funds
D) To allow investors to trade higher-risk securities without additional funding

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