3640. Misleading communications

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    1. An Approved Person must not hold themselves out, and a Dealer Member must not hold itself or its Approved Persons out, including through the use of a trade name, in a manner that could reasonably be expected to deceive or mislead any person or company as to any of the following matters:
      1. the proficiency, experience, qualifications or category of registration or approval of the Approved Person,
      2. the nature of the person’s relationship, or potential relationship, with the Dealer Member or the Approved Person, or
      3. the products or services provided, or to be provided, by the Dealer Member or the Approved Person.
    2. For greater certainty, and without limiting subsection 3640(1), an Approved Person who interacts with clients must not use any of the following:
      1. if based partly or entirely on that Approved Person’s sales activity or revenue generation, a title, designation, award, or recognition,
      2. a corporate officer title, unless their Dealer Member has appointed that Approved Person to that corporate office pursuant to applicable corporate law, or
      3. if the Approved Person’s Dealer Member has not approved the use by that Approved Person of a title or designation, that title or designation.

    3641. – 3699.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.