LTSE is registered with the SEC as a national securities exchange and is subject to SEC oversight and is a participant in many industry-wide NMS plans. Additionally, LTSE is a self-regulatory organization (SRO) and maintains a rule book and exercises regulatory authority over broker-dealers member firms and listed companies.
Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements)
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.
We will keep you up to date with the latest on LTSE.