Regulations Governing Securities Dealers Associations Article 3
In addition to the items required under Article 11 of the Commercial Group Act, the items to be specified in a securities dealers association's articles of association shall include the following:1. Matters regarding preservation of order and fairness in securities trading and protection of investors.2. Matters regarding the prevention of fraud, market manipulation, collection of improper processing fees or expenses, and other matters regarding the acquisition of undue profits.3. Matters regarding providing assistance in the implementation of, research in, and recommendation for the government's economic policies and the Securities and Exchange Act.4. Matters regarding the testing, registration, training, and administration of the associated persons of a securities firm.5. Matters regarding the promotion of self-regulation among members, for joint efforts to improve business operations, and for communication and coordination among members.6. Matters regarding the mediation or arbitration of business disputes between members.7. Matters regarding the imposition of sanctions on members that have violated the Act, other relevant laws or regulations, or the articles of incorporation, rules, or self-regulatory rules of the securities dealers associations, or related operational self-regulatory rules, or resolutions of the general meeting or the board of directors.8. Other matters required by the Financial Supervisory Commission, Executive Yuan (FSC).The adoption or amendment of the articles of incorporation under the preceding paragraph shall, after being passed by the general meeting of the securities dealers association, be promptly reported to the FSC for approval.
中文原文 證券商同業公會業務管理規則第3條
證券商同業公會章程應載明之事項，除依商業團體法第十一條規定辦理外，應包括下列事項：
一、關於維護有價證券買賣之公正及保護投資人事項。
二、關於防止有價證券買賣詐欺、操縱市場、收取不當手續費、費用及其他不當得利等行為事項。
三、關於政府經濟政策與證券交易法之協助推行與研究、建議事項。
四、證券商業務人員測驗、登錄、訓練與管理事項。
五、關於督促會員自律，共謀業務上之改進及聯繫、協調事項。
六、關於會員業務紛爭調處或仲裁事項。
七、關於會員違反本法或其他有關法令、證券商同業公會章程、規章、自律公約或相關業務自律規範、會員大會或理事會決議等之處置事項。
八、其他行政院金融監督管理委員會（以下簡稱本會）規定應行載明之事項。
前項章程之訂定或修正，經證券商同業公會會員代表大會通過後，應即申報本會核定。
一、關於維護有價證券買賣之公正及保護投資人事項。
二、關於防止有價證券買賣詐欺、操縱市場、收取不當手續費、費用及其他不當得利等行為事項。
三、關於政府經濟政策與證券交易法之協助推行與研究、建議事項。
四、證券商業務人員測驗、登錄、訓練與管理事項。
五、關於督促會員自律，共謀業務上之改進及聯繫、協調事項。
六、關於會員業務紛爭調處或仲裁事項。
七、關於會員違反本法或其他有關法令、證券商同業公會章程、規章、自律公約或相關業務自律規範、會員大會或理事會決議等之處置事項。
八、其他行政院金融監督管理委員會（以下簡稱本會）規定應行載明之事項。
前項章程之訂定或修正，經證券商同業公會會員代表大會通過後，應即申報本會核定。