CIRO Supervisor Practice Questions - CIRO Supervisor Exam

The representative is a newly registered individual who has not previously been registered with a Dealer Member, or is subject to a disciplinary order requiring supervision. The representative executes a single trade that triggers a concentration alert on the branch daily trade log. The representative changes their residential address or opens a personal trading account at another Dealer Member. The representative fails to complete their continuing education (CE) requirements within the first three months of a cycle.