CIRO proficiency exam pages for Canada, including CIRE, RSE, Derivatives, Supervisor, Director, Institutional, Trader, CCO, and CFO coverage on Mastery Exam Prep.
CIRO (the Canadian Investment Regulatory Organization) publishes proficiency exam materials used by registrants, supervisors, directors, executives, and training providers across the Canadian securities industry. This section collects the current CIRO-aligned exam pages on Mastery Exam Prep.
Right now, the live CIRO lineup here covers:
This section follows the current CIRO lineup available in Securities Prep. As additional CIRO exams become available there, they are added here so you can find the exam page, supporting links, and app access in one place.
Each exam page gives you one place to review that exam:
If you already use Securities Prep on iOS or Android, sign in on the web app with the same account.
Updated question bank aligned to the CIRO Chief Compliance Officer Exam Syllabus (June 2025). Covers the regulatory framework, compliance operations, business-model risk, securities offerings, governance and ethics, duties and liabilities, risk management, investigations and reporting, compliance responsibilities, and CCO/UDP responsibilities.
Updated question bank aligned to the CIRO Chief Financial Officer Exam Syllabus (June 2025). Covers the regulatory framework, general financial requirements, capital adequacy and reporting, governance and duties, risk management, pricing and underwriting, credit and client accounts, operations and settlements, protection of assets, capital provisions, and UDP responsibilities.
Updated question bank aligned to the CIRO Director and Executive Exam Syllabus (June 2025). Covers general regulatory framework, Investment Dealer business model and related areas, offering and distribution of securities, corporate governance and ethics, duties, liabilities and defences, risk management and internal controls, significant areas of risk, and Ultimate Designated Person responsibilities.
Updated question bank aligned to the CIRO Institutional Securities Exam Syllabus (May 2025). Covers institutional client relationships, conflicts and standards of conduct, fixed income, equities, securities analysis and investment theory, managed and other products, and execution and market integrity.
Updated question bank aligned to the CIRO Trader Exam Syllabus (June 2025). Covers the regulatory environment, capital formation, trade execution, marketplaces, trading methods and rules, trade-desk supervision, derivatives-specific requirements, clearing and settlement, and ethics/confidentiality.
Updated question bank aligned to the CIRO CIRE Syllabus (January 2025). Covers Canadian regulatory framework, client relationships, complaints, market integrity/trade execution/settlement, products, derivatives, conflicts, and ethics.
Updated question bank aligned to the CIRO Retail Securities Exam (RSE) Syllabus (May 2025). Covers KYC/suitability, fixed income, equities, analysis, managed products, portfolio construction, recommendations, market integrity, and ongoing client account maintenance.
Updated question bank aligned to the CIRO Derivatives Exam Syllabus (June 2025). Covers derivatives client relationships, regulatory documentation, product mechanics, pricing, trading/clearing/settlement, strategies, market integrity, and conduct/conflicts.
Updated question bank aligned to the CIRO Supervisor Exam Overview (September 2025). Covers general regulatory framework, supervisory structure, business and operations supervision, account approvals, account activity supervision, Approved Person oversight, trading and market rules, communications and research review, and risks associated with Investment Dealer activity and registered locations.
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