CIRO Supervisor Exam Syllabus

Use this page as your coverage checklist for CIRO Supervisor Exam.

Live topic list

1. Element 1 — General regulatory framework
2. Element 2 — Supervisory structure: Investment Dealer responsibilities
3. Element 3 — Specific supervision responsibilities for business and operations
4. Element 4 — Specific supervision responsibilities for account approvals
5. Element 5 — Specific supervision responsibilities for account activity
6. Element 6 — Specific supervision responsibilities for Approved Persons
7. Element 7 — Specific supervision responsibilities for trading and market rules
8. Element 8 — Specific supervision responsibilities for advertisements, sales literature and communications and research
9. Element 9 — Risks associated with Investment Dealer activity and registered locations

How to use the syllabus

• Work through the topics in order if you want a clean first pass.
• After each topic, run a short set in practice to confirm you can apply the rules under time pressure.
• Use the cheat sheet to condense each topic into a few decision rules, control points, or escalation cues.

Exam snapshot

• Format: 90 multiple-choice questions, 180 minutes
• Current topic count: 9