Regulation

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

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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
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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
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Long-Term Stock Exchange Certificate of Incorporation
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LTSE Group Bylaws
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LTSE Group Certificate of Incorporation
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