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1
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Falsehood, deception, vituperation or other behavior apparently in contradiction with the fact or misleading.
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2
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Making advertising to solicit clients when providing investment analysis.
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3
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Sending out, in any manner, information advising on trading not supported by analysis or facts to clients during securities trading hours.
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4
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Promoting specific stocks to unspecified persons.
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5
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Making investment analysis for investors through augury based on the Book of Changes or through divination.
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6
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Urging on or inciting others with verbal or written words to refuse to perform settlement obligations in securities investments or transactions, engage in protests against the law or otherwise disrupt the order of the exchange market.
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7
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Making advertising to solicit clients by inviting unspecified persons to participate in securities investment and analysis activities free of charge or for an obviously inadequate consideration.
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8
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Making advertising to mislead others to believe it is authorized to provide discretionary investment services when is not.
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9
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Stating profits are guaranteed or losses will be covered.
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