These Guidelines for Ethical Collaboration (Guidelines) are written to facilitate ethical collaboration between members of the StoryTrading community. These Guidelines apply to all users of the StoryTrading platform, including employees, contributors, presenters, and third-parties. Please see the disclaimer at the bottom of the Guidelines.
If you are an officer, a director, or someone in control of at least 10% of a company’s equity securities, you should refrain from disseminating non-public information to the StoryTrading community.
If you obtained non-public information by any other means, you should refrain from disseminating it to the StoryTrading community.
If you learn of non-public information about a public company, do not trade on it or share it with the StoryTrading community.
Information about a company that is gathered from publicly available sources is not non-public information, and you are free to trade on it.
You may trade on information received from an officer, director, or someone in control of at least 10% of a company’s equity securities if you neither know nor have no reason to know that the information you are receiving is confidential or non-public information.
If you are a broker, make sure you are aware of frontrunning regulations if you intend to purchase stocks both for your personal portfolio and for your clients.
If you are scheduled to present a VIP pick to the StoryTrading community, it is permissible to inform others of your intention to do so.
Frontrunning is not illegal if it is based on publicly available information.
Index front running is a permissible trading activity.
When promoting or presenting stocks with a market capitalization of less than $100 million to the StoryTrading community, your promotion or presentation must be based on a strong fundamental thesis.
When investing in low float stocks you became aware of via the StoryTrading platform:
As a member of the StoryTrading community, you are not committing any crime by simply trading the momentum of a stock, provided you are not knowingly attempting to manipulate the value of a stock for profit.
Trading a stock because you have reason to believe other members of the StoryTrading community are doing the same is not illegal.
Disclose who you are, who you work for, and any other relevant affiliations with the StoryTrading community, including whether you are communicating on behalf of yourself or another company.
Disclose if you receive compensation, directly or indirectly, in connection with any stock your present or promote.
When promoting or presenting a stock, disclose all material facts relating to the scope or terms of your relationship with the stock you are presenting, if any.
If you are presenting a VIP pick, you are not required to disclose your position in that stock.
If you previously presented a VIP pick to the StoryTrading community, you are not required to update StoryTrading if your position changes after presenting your VIP pick.
The information in these Guidelines is intended to provide general legal information. It does not constitute legal advice and should not be construed as such. If legal, tax, financial, accounting, investment advisory, or other professional advice is required, consult a licensed attorney in your area to get advice that is specific to you. It is your responsibility to ensure that you are familiar with all potentially applicable regulations including, for example, the SEC’s Regulation AC and its application to research analysts. These Guidelines are written in consideration of potentially applicable regulations, including those promulgated by the Federal Trade Commission (FTC), Consumer Financial Protection Bureau (CFPB), the Securities and Exchange Commission (SEC), and other federal and state regulators.