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Article 3
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A securities firm may not do any of the following when recommending trades in securities to customers:<br/>1.Cite any information that contains any untruth, falsehood, concealment, or is otherwise sufficient to cause mistaken confidence on the part of others.<br/>2.Guarantee specific outcomes on recommended securities.<br/>3.Fail to clearly inform or indicate that the information provided is a forecast.<br/>4.Fail to base recommendations on research reports<br/>5.Recommend customers to trade managed stocks or securities placed under an altered trading method by the TPEx.<br/>6.Use results of past recommendations in promoting its recommendation business.<br/>7.Use non-public information obtained through its proprietary trading or underwriting business.
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