LTSE Rules

LTSE 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 (LTSE Rule 2.154) - Continuing Education

Proposed Rule Change to Amend FINRA Rule 1240.01 to Provide Eligible Individuals Another Opportunity to Elect to Participate in the Maintaining Qualifications Program

Amended by SR-FINRA-2023-005 eff. March 15, 2023

https://www.finra.org/rules-guidance/notices/information-notice-110223

https://www.finra.org/rules-guidance/notices/information-notice-071224

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

Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Allow a Member to Project the Performance or Provide a Targeted Return with Respect to a Security, a Securities Portfolio, or an Asset Allocation or Other Investment Strategy in Its Communications, Subject to Specified Conditions to Ensure These Projections Are Carefully Derived from a Sound Basis

Amended by SR-FINRA-2026-004, eff. October 15, 2026

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

No pending or recently effective changes.