Long-Term Stock Exchange (“LTSE”) is a national securities exchange registered with the Securities Exchange Commission. As a self-regulatory organization, LTSE is subject to S.E.C. oversight and exercises its own regulatory authority over member firms and its listed companies.
Proposed Rule Change to Amend FINRA Rule 1240.01 to Provide Eligible Individuals Another Opportunity to Elect to Participate in the Maintaining Qualifications Program
Amended by SR-FINRA-2023-005 eff. March 15, 2023
No pending or recently effective changes.
Proposed Rule Change to FINRA’s Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
No pending or recently effective changes.
No pending or recently effective changes.
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