Retail Securities Exam (RSE)

Master the RSE exam for retail investment advisors. Comprehensive preparation covering KYC, KYP, suitability, products, and compliance.

120
Questions
3 Hours
Exam Duration
9
Core Elements

About the Retail Securities Exam

The Retail Securities Exam (RSE) is the core proficiency requirement for client-facing investment roles in Canada, including advisors who provide product recommendations and suitability assessments.

The exam evaluates applied competency across KYC (Know Your Client), KYP (Know Your Product), client suitability, investment products, portfolio construction, taxation, compliance, and ethical decision-making.

RSE Exam Key Topics

KYC & Suitability

Client profiling, risk assessment, and suitability determination

Investment Products

Equities, fixed income, mutual funds, ETFs, and alternatives

Portfolio Construction

Asset allocation, diversification, and rebalancing strategies

Taxation

Canadian tax implications for investment products

Compliance & Ethics

Regulatory requirements and professional conduct

Product Analysis

Fundamental and technical analysis methods

RSE

RETAIL SECURITIES EXAM

Choose Your Study Pathway

Select the pathway that matches your background — both lead to full RSE exam readiness.

Pathway 1

Build Your Foundation

For fresh candidates with limited industry or subject matter knowledge

The book provides a comprehensive foundation, while the subscription delivers instructor-led video tutorials, mock exams, and the question bank for active practice and exam readiness.

INCLUDES
📘
Amazon BookCAD $299.99
Comprehensive RSE study guide
+
🎓
Monthly Subscription$29.99/month
Video tutorials · Mock exams · Question bank
Pathway 2

Accelerate Your Prep

For candidates with a finance degree or relevant industry experience

The interactive quick study guide delivers a focused review of core concepts, while the subscription provides video tutorials, mock exams, and the question bank to sharpen your exam readiness.

INCLUDES
⚡
Online Interactive Quick Study GuideCAD $49.99
Focused concept review
+
🎓
Monthly Subscription$29.99/month
Video tutorials · Mock exams · Question bank

RSE Study Materials on Amazon

New! April Special

RSE Interactive Quick Study Guide

9 Elements + Mock Exam

Master RSE with 9 elements, reading notes, games, flashcards, quizzes, and 120-question mock exam

CAD $129.99
CAD $49.99
View Interactive Guide
New!

RSE Mock Exam Pack (Online)

5 Mock Exams

5 complete RSE mock exams with 550 questions and comprehensive rationales

CAD $49.99
View Interactive Guide
New!

RSE Element-Wise Question Bank (Online)

9 Element Banks

9 comprehensive question banks with detailed rationales for focused element-wise practice

CAD $49.99
View Interactive Guide

Printed RSE Study Guide

780 Pages

Comprehensive study guide with case-driven methodology

CAD $299.99
Buy on Amazon

RSE 5 Full-Length Mock Exams

600+ Questions

Realistic practice exams mirroring RSE structure

CAD $49.99
Buy on Amazon

RSE Quick Study Guide

Top 300 Concepts

Top 300 concepts for fast final review

CAD $34.99
Buy on Amazon

RSE Online Course Pricing

BEST VALUE

Monthly Plan

$29.99

per month • Cancel anytime

  • All video lessons
  • AI Tutor access
  • Practice questions
  • Mock exams
  • Study guides
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Frequently Asked Questions

Everything you need to know about the RSE exam

What is the RSE exam?+
The Retail Securities Exam (RSE) is a CIRO proficiency exam for investment professionals who want to work with retail clients—individual investors and small businesses. It covers KYC, KYP, suitability, investment products, and portfolio construction.
How many questions are on the RSE exam?+
The RSE exam has 120 multiple-choice questions that must be completed in 3 hours (180 minutes). The passing score is determined by CIRO for each exam sitting.
What is the difference between RSE and ISE?+
The RSE (Retail Securities Exam) is for professionals working with individual/retail clients, while the ISE (Institutional Securities Exam) is for those working with institutional clients like corporations and pension funds. RSE focuses more on client relationships and suitability.
What careers can I pursue after passing the RSE?+
After passing the RSE, you can work as an Investment Advisor, Financial Planner, Wealth Manager, or Retail Broker. These roles involve advising individual clients on investment decisions.
How long should I study for the RSE exam?+
We recommend 6-8 weeks of dedicated study time for the RSE exam. The exam is more comprehensive than the CIRE, so allow extra time for topics like portfolio construction and suitability assessment.
Do I need to pass CIRE before taking RSE?+
While not always mandatory, completing the CIRE exam before RSE is recommended as it provides foundational knowledge that helps with RSE preparation.

Start Your RSE Exam Preparation Today

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