Regulation Resources

The Long-Term Stock Exchange, Inc. (LTSE) is registered with the U.S. Securities and Exchange Commission (SEC) as a national securities exchange and 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 (SRO) and exercises regulatory authority over broker-dealer members and listed companies.

Rule Book

Long-Term Stock Exchange Rule Book

Governance

LTSE Group Certificate of Incorporation

LTSE Group Bylaws

Long-Term Stock Exchange Certificate of Incorporation

Long-Term Stock Exchange Bylaws

Rules Incorporated by Reference

LTSE incorporates by reference certain FINRA rules as LTSE rules. Thus, for certain LTSE rules, Exchange members will comply with an LTSE rule by complying with the FINRA rule referenced therein. LTSE will periodically provide updates where applicable when there are new proposals or approvals to amend these incorporated rules. Below are relevant updates.

FINRA Rule 5270 (LTSE Rule 10.260) - Front Running of Block Transactions

No pending or recently effective changes.

FINRA Rule 5310 (LTSE Rule 10.220) - Best Execution and Interpositioning

No pending or recently effective changes.

FINRA Series 12000 and 13000, Rule 2268 (LTSE Rule 12.110) - Code of Arbitration

Proposed Rule Change to Amend FINRA Rules to Reflect Name Changes to Two FINRA Departments the Office of Dispute Resolution and the Department of Registration and Disclosure

https://www.finra.org/rules-guidance/rule-filings/sr-finra-2020-039

Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees

https://www.finra.org/rules-guidance/rule-filings/sr-finra-2020-035

Proposed Rule Change to Amend the Code of Arbitration Procedure for Industry Disputes (“Code”) to Align the Code with the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021

https://www.finra.org/rules-guidance/rule-filings/sr-finra-2022-012