1. It is not illegal for securities brokers to recommend stocks.

In the Code of Conduct for Securities Practitioners, there is no requirement that practitioners cannot have their own securities accounts, let alone just take exams. Securities qualification is the abbreviation of qualification examination for securities practitioners. The certificate is a national qualification examination and a qualification certificate for national financial institutions, with high gold content. The qualification examination for securities practitioners is an introductory examination for engaging in the securities industry. It is not illegal to recommend, but we must master the scale.

Second, about stock returns.

Stock income, that is, stock investment income, refers to the difference between dividends obtained by enterprises or individuals from foreign investment in the form of buying stocks, the amount obtained from transferring and selling stocks and the actual cost of stocks, and the amount of equity investment in the net assets increased by the invested unit. Stock income includes dividend income, capital gains and transfer income from provident fund.

Third, what kind of securities broker is illegal.

1. It is illegal to recommend stocks to people who have no securities qualification (investment consultant/securities analyst). Others will find you in trouble if they lose money.

2. If you obtain the qualification of securities business (investment consultant/securities analyst), it is a violation of the Securities Law, and paid personal recommendation may also be suspected of fabricating and spreading false information about securities and futures trading, or even manipulating the trading price of securities and futures.

A securities broker refers to a securities company that accepts customers' orders to buy and sell securities in a stock exchange, acts as an intermediary between the two parties to the transaction and collects commissions. It can be divided into three categories, namely, commission brokers, two-dollar brokers and bond brokers. Employees must pass the securities qualification examination before they can engage in securities brokerage business.

The China Securities Regulatory Commission issued the Interim Provisions on the Management of Securities Brokers on March 65438+June 2009, which standardized the qualifications, practice behaviors and management responsibilities of brokers in securities companies. This regulation has been officially implemented since April of 13.

According to the regulations, a securities broker shall register with the China Securities Association through a securities company, and after obtaining the securities broker certificate issued by the securities company, he shall act as a special agent of the securities company to engage in customer solicitation, customer service and other activities.