Everything you need to pass your CIRE Securities exam: key topics, the rules examiners test, and exam-style practice questions.
Canada CIRE · 80 topics · Updated 2026-10-24
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Covers the foundational relationship between a Registered Representative and their client, including cross-border considerations.
Addresses the range of client information required to fulfill KYC obligations.
Covers thorough assessment of a client's risk tolerance, capacity and need.
Covers different business structures and how they impact investment opportunities.
Addresses the need to accurately document client discussions and have clients confirm accuracy.
Covers application of trusted contact person requirements to specific scenarios.
Covers primary responsibility, prohibition on KYC delegation and the obligation to keep KYC current.
Covers the types of client account records and information gathered.
Covers application of the account appropriateness obligation to specific scenarios.
Covers matching account features, advantages and disadvantages to client requirements.
Covers documentation related to account opening and information collected.
Covers the purpose and required elements of the Relationship Disclosure document.
Covers the importance of protecting confidential information within an Investment Dealer.
Covers the purpose of documents provided to clients in the Welcome Package.
Covers the product due diligence obligation on the Dealer and the Approved Person.
Covers application of the KYP obligation to all investments purchased, sold or recommended.
Covers application of suitability determination requirements to specific situations.
Covers obligations where client instructions are unsolicited or unsuitable.
Covers applying types of investment action to specific situations.
Covers the difference between account appropriateness and suitability determination.
Covers Dealer and regulatory requirements for monitoring and maintaining accounts, including triggering events.
Covers analysis of how relevant changes affect suitability for a client's portfolio.
Covers regulatory requirements for managing conflicts of interest.
Covers requirements relating to outside activities in specific situations.
Covers requirements relating to personal financial dealings with clients.
Covers application of Dealer policies and procedures for managing conflicts of interest.
Covers application of CIRO standards of conduct to situations involving representatives, clients and firms.
Examines how to assess a client's risk profile through willingness, ability and need for risk.
Covers different business structures and how they affect investment opportunities.
Applies trusted contact person requirements to scenarios, including establishment, permissions and use.
Covers the prohibition on KYC delegation and obligation to keep KYC information current.
Applies the account appropriateness obligation to specific situations.
Applies advantages and disadvantages of account types to client requirements.
Covers documentation tied to account opening and the information collected relative to the dealer's model.
Covers the purpose of documents included in the Investment Dealer's Welcome Package.
Covers obligations of the Registered Representative and Dealer when instructions are unsolicited or unsuitable.
Analyzes Dealer and regulatory requirements for monitoring accounts and triggering events.
Applies regulatory requirements for managing conflicts of interest to specific situations.
Applies CIRO standards of conduct to situations involving a Registered Representative and their client or firm.
The blueprint explains that the exam follows the CIRO Proficiency Model, under which all tested information is freely available on websites, in regulatory rule books and in national or regional laws.
Candidates may choose to self-study or use a preparatory course provider, and it is up to the candidate to select the best study journey for their learning style, time and experience.
The CIRO Proficiency Model aims to allow open access to competency exams, with all tested information freely available on websites, in regulatory rule books and in national or regional laws.
Candidates may choose to self-study or use a preparatory course provider, selecting the study journey that best fits their learning style, time commitment and experience.
If there is a discrepancy between CIRO-provided information and any external resource, candidates should defer to CIRO's information.
The starting point is the exam syllabus, which is the authoritative roadmap outlining topics and subtopics covered and prioritizing study time.
The blueprint outlines a strategic approach to studying using only the syllabus learning outcomes, structured into a series of steps.
Reviewing the list of learning outcomes to grasp the breadth and depth of exam content and organize related outcomes into a study plan.
Allocating study time across learning outcomes using question weighting to set realistic goals with review and practice.
Pinpointing the key concepts and terms to master for each learning outcome and mapping out what is needed to know.
Deepening understanding through textbooks, online resources, industry publications and peers, including university course reading lists for non-regulatory content.
Using the practice exam as a representative benchmark of exam readiness and pacing, informally at the start and formally when ready.
Reinforcing understanding through active methods such as summarizing, mind maps, flash cards, peer discussion and teaching others.
Periodically testing understanding and retention on each learning outcome and adjusting the study plan toward weaker areas.
Considering study groups or online forums to discuss learning outcomes and share resources with fellow candidates.
Keeping abreast of updates or changes in the investment industry sector that might impact the exam.
Covers requirements to promote fair and efficient debt markets.
Covers types and features of various fixed-income products.
Covers application of fixed-income terminology to specific situations.
Covers analysis of fixed-income product characteristics for investors and issuers.
Covers characteristics and conditions affecting the risk-return profile of fixed-income instruments.
Covers application of standard yield calculations to bonds.
Covers relationships among coupon, yield, maturity, price and duration in specific situations.
Covers applying modified duration to assess a bond's price change for a given yield change.
Covers applying time value of money to fixed-income calculations.
Covers characteristics of instruments and conditions affecting risk-return profiles.
Applies the relationships between coupon, yield, term, price volatility and duration.
Applies time value of money to fixed-income calculations.
The blueprint lists factors to consider when evaluating whether a preparatory provider is a good fit for exam preparation.
Assessing a prep provider's standing in the investment industry through reputation and independent reviews.
Verifying whether the provider is accredited and confirming the qualifications of its instructors.
Covers the requirement and purpose of a prospectus and when exemptions apply under national instruments.
Covers classes and features of common shares.
Covers the types and key features of Canadian depositary receipts.
Covers analysis of investing in different classes of common shares and depositary receipts.
Covers analysis of the advantages and disadvantages of common share ownership.
Covers how corporate actions can affect a shareholder's position.
Covers classes and features of preferred shares.
Covers analysis of investing in different classes of preferred shares.
Covers applying the distinction between common and preferred share ownership.
Covers applying time value of money to equity valuation.
This page covers 80 of 203 topics. The PDF has all 203 — free, printable, no sign-up.
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