Regulation

Resources, rule filings, NMS plans, and rules incorporated—read and download them here.

Regulation Overview Rule Filings NMS Plans Board of Directors

Regulation is at the foundation of what we do.

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.

Exchange Rules

Long-Term Stock Exchange Rule Book

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 1240 (LTSE Rule 2.154) - Continuing Education

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

FINRA Rule 2090 (LTSE Rule 3.150) - Know Your Customer

No pending or recently effective changes.

FINRA Rule 2111 (LTSE Rule 3.170) - Suitability

Proposed Rule Change to FINRA’s Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest

Amended by SR-FINRA-2020-007 eff. June 30, 2020

FINRA Rule 2210 (LTSE Rule 3.280) - Communications with Customers and the Public

No pending or recently effective changes.

FINRA Rule 3130 (LTSE Rule 5.130) - Annual Certification of Compliance and Supervisory Processes

No pending or recently effective changes.

Corporate Organization

Long-Term Stock Exchange Bylaws

Long-Term Stock Exchange Certificate of Incorporation

LTSE Group Bylaws

LTSE Group Certificate of Incorporation

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