LTSE | Regulation

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(c) (LTSE Rule 2.154) - Continuing Education Program for Persons Maintaining Their Qualification Following the Termination of a Registration Category

Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements)

Amended by SR-FINRA-2021-015 eff. March 15, 2022

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.

Regulation

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Exchange Rules

Rules Incorporated by Reference

FINRA Rule 1240(c) (LTSE Rule 2.154) - Continuing Education Program for Persons Maintaining Their Qualification Following the Termination of a Registration Category

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

FINRA Rule 2111 (LTSE Rule 3.170) - Suitability

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

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

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