3617. Prohibited inducements

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    1. A Dealer Member must not, as consideration or inducement for the receipt of business or compensation from an issuer, directly or indirectly:

      1. offer to issue favourable research report on the issuer,

      2. offer to set a favourable rating or price target on one or more of the issuer’s securities,

      3. offer to delay the changing of a rating or price target on one or more of the issuer’s securities or the changing of any other research report element, including offering to delay the issue date of the research report, or 

      4. threaten to change a rating or a price target on one or more of the issuer’s securities or any other element of a research report.

    There is no history log for this rule.

    There is no history log for this rule.