CIRO CIRE Exam : Canadian Investment Regulatory Exam

Exam Code: CIRE
Exam Name: Canadian Investment Regulatory Exam
Updated: Oct 11, 2026
Q & A: 112 Questions and Answers

About CIRO CIRE Exam Questions

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CIRO CIRE Exam Syllabus Topics:

Section	Weight	Objectives
Market integrity, trade execution and settlement	12%	- Order entry, trade processing, settlement and delivery - Gatekeeping for manipulative and deceptive practices - Margin requirements - Investment banking, research and corporate finance - Order types - Reporting obligations - Account types - Order confirmation requirements - Derivative trading agreements - Order variations, cancellations and corrections - UMIR gatekeeping obligations - Universal Market Integrity Rules
Securities, managed products, mutual funds and other investments	19%	- Managed products - Equities - Managed product investment considerations - Pooled products - Asset classes - Equity investment considerations - Fixed income securities and products - Mutual funds - Fixed income investment considerations - Exchange-traded funds - Market indices - Other investments
Client complaint handling and reporting	5%	- Settlement agreements with clients - Complaint policies, procedures and recordkeeping - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations - CIRO and provincial regulator roles in complaint handling - Client recourse options - Client issues and potential liability
Prospective client relationships	10%	- Client relationship model - Retail client information and risk profile - Retail and institutional clients - Account agreements and welcome documentation - Third parties and professional advisers - Client recordkeeping - Investment Dealer onboarding process - Accredited investors and exemptions - Institutional client qualification - Costs, fees, turnover and taxes
Derivatives	5%	- Derivative trading strategies - Derivative account administration - Uses of derivatives - Transactional elements of futures and options - Prohibited derivative trading practices - Options - Listed and over-the-counter derivatives markets - Futures, forwards, swaps and contracts for difference
Overview of Canadian securities regulatory framework	10%	- Confidentiality, privacy, anti-spam and shareholder rights legislation - Criminal Code and financial crime - Role and authority of the Canadian Investment Regulatory Organization - Other investment industry regulators and agencies - Clearing agencies - Marketplaces and trading venues - Canadian Investor Protection Fund - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Bank Act and Bankruptcy and Insolvency Act - Investment Dealer registration and individual approval requirements - Anti-money laundering requirements
Scope of client relationships	15%	- Investment performance benchmarks - Clients residing in the United States and other foreign jurisdictions - Registered Representative role and client service - Retail Investment Dealer services - Investment management styles and strategies - Institutional client sophistication and suitability exemptions - Institutional Investment Dealer services - Investment Representative role and client service - Account appropriateness versus suitability - Account appropriateness - Client suitability determination - Escalation to subject matter experts - Suitability exemptions - Know-your-product requirements - Trust, agency and fiduciary duty - Relationship disclosure - Product due diligence
Conflicts of interest and ethics	15%	- Ethical and legal responsibilities to clients - CIRO and other ethical standards - Cybersecurity and confidential information - Managing conflicts of interest - Information barriers and restricted lists - Conflict identification, avoidance, addressing and disclosure - Ethical principles and standards of conduct - Ethics and regulatory rules - Personal financial dealings with clients - Client confidentiality - Positions of influence - Outside activities of Approved Persons
Market and company analysis	8%	- Industry performance analysis - Basic economic theories - Macroeconomic effects on financial markets - Market theories and stock market behaviour - Company regulation, disclosure and investor rights - Company performance analysis - Technical and statistical analysis tools - Macroeconomic factors and policies - Economic information and indicators

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

What impact do investor expectations about future interest rate changes typically have on the prices of fixed-income securities?

A. Expectations of falling interest rates generally increase the prices of fixed-income securities
B. Expectations about interest rates have no impact on the prices of fixed-income securities
C. Expectations about interest rates only affect the prices of equity markets, not fixed-income securities
D. Expectations of rising interest rates generally increase the prices of fixed-income securities

Reveal Solution Discussion 0

Correct Answer: A 🗳️