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CIRO CIRE : Canadian Investment Regulatory Exam
- Exam Code: CIRE
- Exam Name: Canadian Investment Regulatory Exam
- Updated: Oct 09, 2026
- Q & A: 112 Questions and Answers
About CIRO CIRE Exam
Every candidate studies differently, so Prep4away offers the CIRE practice questions as a printable PDF, a desktop test engine, and an online test engine. All three cover the same 112 questions for the CIRO Canadian Investment Regulatory exam.
CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Derivatives Fundamentals | ~5–8% | - Risk and Suitability for Derivatives - Options, Futures and Forwards Basics |
| Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
| Securities and Managed Products | ~19% | - Fund Structures and Product Characteristics - Equities, Fixed-Income and Managed Products |
| Scope of Client Relationship, KYC and Suitability | ~15–18% | - Know Your Client (KYC) Requirements - Suitability Assessment and Obligations |
| Client Complaint Handling and Reporting | ~5% | - Complaint Management Framework - Escalation, Recordkeeping and Reporting |
| Market Integrity, Trade Execution and Settlement | ~12% | - Order Types, Execution and Settlement Processes - UMIR and Market Integrity Rules |
| Market and Company Analysis | ~8% | - Investment Performance Benchmarks - Fundamental and Technical Analysis |
| Conflicts of Interest and Ethics | ~14–15% | - Conflict Identification, Disclosure and Management - Client-Focused Reforms and Ethical Standards |
| Prospective Client Relationships | ~10% | - Relationship Discovery and Qualification - Know Your Prospect (KYP) and Disclosures |
Everything You Want to Know About the CIRO CIRE Exam
The CIRE exam (Canadian Investment Regulatory Exam) is the official CIRO exam that leads to the CIRE (Canadian Investment Regulatory Exam) certification, a credential at the Entry / Foundation level. Related certifications include Retail Securities Exam (RSE), Institutional Securities Exam (ISE), Supervisor Exam (SUP), Trader Exam (TRD), Derivatives Exam, Director and Executive Exam, Chief Compliance Officer Exam, Chief Financial Officer Exam. Prep4away provides 112 practice questions to help you prepare for it with confidence.
The CIRE exam contains 110 questions and gives you 120 minutes to finish them. Before exam day, divide the total time by the question count so you know the pace you need to keep, and flag difficult items instead of getting stuck on them. Running at least one full timed session in the Prep4away test engine is the best way to make that time pressure feel familiar.
You need Approximately 60% (not published officially) to pass, and the official registration fee is CAD $475 (first attempt); CAD $300 (per retake). Keep in mind that a failed attempt means paying that fee in full again, so it pays to test yourself first. When your scores on the Prep4away timed practice tests stay consistently above the passing line, you are ready to book the exam.
No mandatory prerequisites; foundational exam for CIRO Proficiency Model. Replaced Canadian Securities Course (CSC) effective Jan 1, 2026. CFA Level I or charterholders may be exempt. Requirements can change over time, so always double-check the latest eligibility rules before you register on the official CIRO exam page.
You can book your exam through the official registration channels:
The exam is delivered in the following way: Computer-based, delivered at Prometric test centres or via remote proctoring (OnVUE).
CIRO recommends the following training options for this exam:
Official courses build the foundation, and the CIRE practice questions from Prep4away help you turn that knowledge into exam-day performance.
Yes. Prep4away offers a free CIRE PDF demo so you can check the quality of the practice questions before purchasing. After you buy, your product comes with 365 days of free updates, and if it expires you can renew the update service at a 50% discount from your member zone.
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The CIRE syllabus is organized into 9 exam domains. Among the first three are Prospective Client Relationships (~10%), Scope of Client Relationship, KYC and Suitability (~15–18%), Derivatives Fundamentals (~5–8%). For the complete breakdown of topics and subtopics, see the Exam Topics section above.
CIRO Canadian Investment Regulatory Sample Questions:
Question #1
If reasonably foreseeable material conflicts of interest cannot be avoided, an Investment Dealer must ensure which of the following?
- A. Present options to the client before any action is taken
- B. Address in the best interest of the client and disclose in a timely manner
- C. Address in the best interest of the client and disclose during an annual review
- D. Address in the best interest of the client with no disclosure requirement
Correct Answer: B 🗳️
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Question #2
What role do margin requirements play in managing risk for both short and long positions?
- A. They apply exclusively to short positions, with no impact on long positions
- B. They are not enforced for accounts where trades are executed at the dealer's discretion
- C. They increase the amount of capital needed but do not reduce the leverage available
- D. They require clients to maintain sufficient funds to cover losses in both short and long positions
Correct Answer: D 🗳️
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Question #3
Which of the following best describes the best execution rule?
- A. It mandates that trades must be executed at the price most favorable to the market participant
- B. It stipulates that all trades should be executed by the same dealer to maintain consistency
- C. It requires that trades are executed on the most advantageous terms for the client
- D. It ensures that trades are executed at the best possible price and reducing commissions
Correct Answer: C 🗳️
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Question #4
Following two recent annual reviews it was determined that a client's commission-based account is appropriately balanced. The advisor recommends trades that are unnecessary to fulfil the client's investment goals, and describes the key features of the product including the costs. Which of the following is true?
- A. This is a potential breach of the advisor's fiduciary duty
- B. This is not a violation because the advisor disclosed all the costs
- C. This is a potential failure of the duty of best execution
- D. This is not a violation because the account was appropriately balanced
Correct Answer: A 🗳️
Explanation: Only visible for Prep4away members. You can sign-up / login (it's free).
Question #5
What information should the Relationship Disclosure specify in relation to benchmarks?
- A. At least three different benchmarks to assess performance
- B. All the benchmarks which competitor products use to assess performance
- C. A general explanation of how benchmarks might be used to assess performance
- D. All the available benchmarks which could have been used to assess performance
Correct Answer: C 🗳️
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