Regulation

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

Regulation Overview Rule Filings NMS Plans and 605 Reports

Regulation is at the foundation of what we do.

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.

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 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.

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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