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 Certificate of Incorporation
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LTSE Group Certificate of Incorporation
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