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Save or Print the Checklist for Securities Preparations

Use this checklist to organize the questions to confirm with your dealer before choosing securities preparation.

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Questions to confirm before choosing securities preparation

Use this checklist for your conversation with your dealer. Record the answers that apply to you, then review preparation for your confirmed exam. Keep the completed checklist for your own reference.

What role, approval category and activities are you pursuing?

Will you work with retail or institutional clients? Which product types are included in your role?

Are you new to the industry, already approved, returning, or changing roles?

Which courses, exams, education or relevant experience should the dealer consider? Note relevant dates.

Which exams have been confirmed for your category and circumstances? Are there recognition, exemption or transition questions to resolve?

What must be completed before approval? What dealer or conduct training follows? What enrolment eligibility and timing must you confirm?

Explore the relevant SeeWhy preparation after confirming the requirements. SeeWhy preparation and official CIRO exam enrolment are separate purchases and processes.