Regulation is the foundation of what we do.
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.
Exchange Rules
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 3210 (LTSE Rule 5.170) - Transactions for or by Associated Persons
No pending or recently effective changes.
FINRA Rule 3230 (LTSE Rule 3.292) - Telemarketing
No pending or recently effective changes.
FINRA Rule 4110 (LTSE Rule 4.110) - Capital Compliance
No pending or recently effective changes.
FINRA Rule 4120 (LTSE Rule 4.120) - Regulatory Notification and Business Curtailment
No pending or recently effective changes.
FINRA Rule 4140 (LTSE Rule 4.140) - Audit
No pending or recently effective changes.