CIRO CIRE exam - in .pdf

CIRE pdf
  • Exam Code: CIRE
  • Exam Name: Canadian Investment Regulatory Exam
  • Updated: Sep 04, 2026
  • Q & A: 112 Questions and Answers
  • PDF Price: $59.99
  • PDF Demo

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  • Exam Code: CIRE
  • Exam Name: Canadian Investment Regulatory Exam
  • Updated: Sep 04, 2026
  • Q & A: 112 Questions and Answers
  • PDF Version + PC Test Engine + Online Test Engine
  • Value Pack Total: $119.98  $79.99
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CIRO CIRE exam - Testing Engine

CIRE Testing Engine
  • Exam Code: CIRE
  • Exam Name: Canadian Investment Regulatory Exam
  • Updated: Sep 04, 2026
  • Q & A: 112 Questions and Answers
  • Software Price: $59.99
  • Testing Engine

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CIRO CIRE Exam Syllabus Topics:

SectionWeightObjectives
Prospective Client Relationships~10%- Relationship Discovery and Qualification
- Know Your Prospect (KYP) and Disclosures
Overview of Regulatory Framework~10%- Market Infrastructure and Protection Funds
- Securities Legislation and Regulators (CSA, CIRO, FINTRAC)
Market and Company Analysis~8%- Fundamental and Technical Analysis
- Investment Performance Benchmarks
Market Integrity, Trade Execution and Settlement~12%- Order Types, Execution and Settlement Processes
- UMIR and Market Integrity Rules
Client Complaint Handling and Reporting~5%- Escalation, Recordkeeping and Reporting
- Complaint Management Framework
Derivatives Fundamentals~5–8%- Options, Futures and Forwards Basics
- Risk and Suitability for Derivatives
Scope of Client Relationship, KYC and Suitability~15–18%- Suitability Assessment and Obligations
- Know Your Client (KYC) Requirements
Securities and Managed Products~19%- Equities, Fixed-Income and Managed Products
- Fund Structures and Product Characteristics
Conflicts of Interest and Ethics~14–15%- Client-Focused Reforms and Ethical Standards
- Conflict Identification, Disclosure and Management

CIRO Canadian Investment Regulatory Sample Questions:

Question 1

What should a Registered Representative (RR) do if they unintentionally receive insider information about a publicly traded company?

A. Refrain from using the information and report to compliance
B. Share the information with trusted colleagues for advice
C. Do not act and retain confidentiality to protect the source
D. Act on the information to the benefit of their clients


Question 2

An investment advisor is considering recommending a pooled fund to a client. Which of the following is a characteristic of pooled funds?

A. The fund pools money from multiple investors to invest in a diversified portfolio
B. The client has full control over individual security selection within the fund
C. The fund typically charges a flat fee regardless of the client's contribution size
D. The client owns individual securities within the pool


Question 3

A client calls their Investment Dealer to cancel an order to purchase 1,000 shares of a stock. However, the order has already been executed. What is the Investment Dealer's most appropriate action in this situation?

A. The dealer should try to reverse the trade as soon as possible by executing a new opposing trade
B. The dealer should inform the client that the order has already been executed and that it cannot be undone
C. The dealer should inform the client they need to file a request with the exchange to cancel order
D. The dealer should cancel the order as per the client's request, regardless of the execution status


Question 4

Investment Dealers must provide relationship disclosure to which of the following types of clients?

A. All clients except Institutional Clients
B. All clients except non-discretionary clients
C. All clients except Retail Clients
D. All clients except managed clients


Question 5

A trader expects the price of a stock to rise and wants to use a bullish strategy in options trading.
Which of the following strategies should the trader use?

A. Selling a put option
B. Buying a put option
C. Selling a call option
D. Buying a call option


Solutions:

Question 1
Answer: A
Question 2
Answer: A
Question 3
Answer: B
Question 4
Answer: A
Question 5
Answer: D

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