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Article 3
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A securities firm shall not do any of the following when recommending trades in securities to customers:
- Cite any information that contains any untruth, falsehood, concealment, or is otherwise sufficient to cause mistaken confidence on the part of others.
- Guarantee specific outcomes on recommended securities.
- Fail to clearly inform or indicate that the information provided is a forecast.
- Fail to base recommendations on research reports
- Recommend customers to trade managed stocks or securities where certain restrictions have been imposed by TPEx.
- Use results of past recommendations in promoting its recommendation business.
- Use non-public information obtained through its own trading or underwriting.
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