Regulation Overview

The Long-Term Stock Exchange, Inc. (LTSE) is registered with the U.S. Securities and Exchange Commission (SEC) as a national securities exchange. LTSE is subject to SEC oversight and is a participant in many industry-wide national market system (NMS) plans. Additionally, LTSE is a self-regulatory organization and exercises regulatory authority over its broker-dealer members and listed companies.

Questions & Inquiries

Please direct any questions or inquiries regarding regulatory matters, or to submit a tip or complaint about any
activity that may violate LTSE rules or federal securities laws, to regulation@longtermstockexchange.com.

All tips or complaints and any subsequent investigation are subject to LTSE’s regulatory independence.

Contact LTSE Regulation

Long-Term Stock Exchange’s Regulatory Independence

LTSE Regulation functions independently of both Long-Term Stock Exchange and LTSE Services in its regulatory decision-making and operations, and comprises the Chief Regulatory Officer of the Long-Term Stock Exchange and their direct and indirect reports. The Chief Regulatory Officer reports to the Regulatory Oversight Committee of the Long-Term Stock Exchange’s Board of Directors. Regulatory matters, including tips or complaints, and confidential information are maintained by LTSE Regulation. LTSE implements strict safeguards to ensure that confidential regulatory information remains protected and is handled solely within LTSE Regulation.