Long-Term Stock Exchange, Inc. (LTSE) Rulemaking

We encourage the public to submit comments on the following Long-Term Stock Exchange, Inc. (LTSE) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter | 

LTSE File Number List for 2019

Chronological List for 2019

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Release No. Date Details
Fourth Quarter
SR-LTSE-2019-05
34-87861 Dec. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Membership Waive-in Process for FINRA Members
Comments due: January 24, 2020
Additional Materials: Exhibit 3, Exhibit 5
SR-LTSE-2019-04
34-87773 Dec. 17, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Dual Listing
Comments due: January 13, 2020
Additional Materials: Exhibit 5
SR-LTSE-2019-03
34-87357 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Set the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280 and to Move the Limit Up-Limit Down Mechanism, Authority to Initiate Trading Halts, and Procedure for Initiating and Terminating a Trading Halt into Separate Rules for Clarity
Comments due: November 14, 2019
Additional Materials: Exhibit 5
SR-LTSE-2019-02
34-87221 Oct. 3, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Make the Exchange a Display-Only Market by Removing References to Non-Displayed and Reserve Orders
Comments due: October 30, 2019
Additional Materials: Exhibit 5
Third Quarter
SR-LTSE-2019-01
34-86722 Aug. 21, 2019 Order Approving Proposed Rule Change to Adopt Rule 14.425, Which Would Require Companies Listed on the Exchange to Develop and Publish Certain Long-Term Policies
Second Quarter
SR-LTSE-2019-01
34-86327 Jul. 8, 2019 Notice of Filing of Proposed Rule Change to Adopt Rule 14.425, Which Would Require Companies Listed on the Exchange to Develop and Publish Certain Long-Term Policies
Comments due: August 2, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.

File Number List for 2019

Release No. Date Details
SR-LTSE-2019-05
34-87861 Dec. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Membership Waive-in Process for FINRA Members
Comments due: January 24, 2020
Additional Materials: Exhibit 3, Exhibit 5
SR-LTSE-2019-04
34-87773 Dec. 17, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Dual Listing
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-LTSE-2019-03
34-87357 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Set the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280 and to Move the Limit Up-Limit Down Mechanism, Authority to Initiate Trading Halts, and Procedure for Initiating and Terminating a Trading Halt into Separate Rules for Clarity
Comments due: November 14, 2019
Additional Materials: Exhibit 5
SR-LTSE-2019-02
34-87221 Oct. 3, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Make the Exchange a Display-Only Market by Removing References to Non-Displayed and Reserve Orders
Comments due: October 30, 2019
Additional Materials: Exhibit 5
SR-LTSE-2019-01
34-86722 Aug. 21, 2019 Order Approving Proposed Rule Change to Adopt Rule 14.425, Which Would Require Companies Listed on the Exchange to Develop and Publish Certain Long-Term Policies
34-86327 Jul. 8, 2019 Notice of Filing of Proposed Rule Change to Adopt Rule 14.425, Which Would Require Companies Listed on the Exchange to Develop and Publish Certain Long-Term Policies
Comments due: August 2, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.