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

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Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

LTSE File Number List for 2020

Additional Archives

Chronological List for 2020

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Release No. Date Details
Fourth Quarter
SR-LTSE-2020-24
34-90809 Dec. 28, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rule Series 11.60
Comments due: January 25, 2021
Additional Materials: Exhibit 5
SR-LTSE-2020-23
34-90777 Dec. 22, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.380 to Expand the Exchange's Optional Risk Controls Mechanism to Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check
Comments due: January 20, 2021
Additional Materials: Exhibit 5
SR-LTSE-2020-22
34-90731 Dec. 18, 2020 Notice of Filing of a Proposed Rule Change to Adopt Rules Related to Promotional Services and Listing Ceremonies for Listed Companies
Comments due: January 19, 2021
Additional Materials: Exhibit 5
SR-LTSE-2020-19
34-90141 Oct. 8, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Continue Suspending the Application of Order Price Collars in Rule 11.190(f)(1) Until December 8, 2020
Comments due: November 6, 2020
SR-LTSE-2020-18
34-90125 Oct. 8, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280
Comments due: November 4, 2020
Additional Materials: Exhibit 5
Third Quarter
SR-LTSE-2020-16
34-89877 Sep. 15, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.410(a)
Comments due: October 13, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-15
34-89766 Sep. 3, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Continue Suspending the Application of Order Price Collars in Rule 11.190(f)(1) Until October 8, 2020
Comments due: October 1, 2020
SR-LTSE-2020-14
34-89710 Aug. 28, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend the Application of Order Price Collars in Rule 11.190(f)(1) Until September 8, 2020
Comments due: September 24, 2020
SR-LTSE-2020-13
34-89668 Aug. 25, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.410(a)
Comments due: September 21, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-12
34-89440 Jul. 31, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Compliance Rule Regarding the CAT NMS Plan
Comments due: August 27, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-11
34-89254 Jul. 8, 2020 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-LTSE-2020-10
34-89216 Jul. 2, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Designation of Members for Mandatory Disaster Recovery Testing Pursuant to Regulation SCI for Calendar Year 2020
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Second Quarter
SR-LTSE-2020-09
34-89120 Jun. 22, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the LTSE Rule 11.600 Series (Consolidated Audit Trail Compliance Rule)
Comments due: July 17, 2020
Additional Materials: Exhibit 5
First Quarter
SR-LTSE-2020-08
34-88515 Mar. 30, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pre-Market Session and Regular Market Session Opening Process for Non-LTSE-Primary-Listed Securities
Comments due: April 24, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-06
34-88439 Mar. 20, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trading of Exchange Traded Products on an Unlisted Trading Privileges Basis
Comments due: April 16, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-07
34-88427 Mar. 19, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.280 Concerning the Resumption of Trading following a Level 3 Market-wide Circuit Breaker Halt
Comments due: April 15, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-05
34-88394 Mar. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fingerprint-Based Background Checks
Comments due: April 10, 2020
SR-LTSE-2020-04
34-88248 Feb. 20, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Annual Membership Fee
Comments due: March 18, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-03
34-88133 Feb. 6, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Initial Listing Fee and Annual Listing Fee
Comments due: March 4, 2020
Additional Materials: Exhibit 5

File Number List for 2020

Release No. Date Details
SR-LTSE-2020-24
34-90809 Dec. 28, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rule Series 11.60
Comments due: January 25, 2021
Additional Materials: Exhibit 5
SR-LTSE-2020-23
34-90777 Dec. 22, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.380 to Expand the Exchange's Optional Risk Controls Mechanism to Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check
Comments due: January 20, 2021
Additional Materials: Exhibit 5
SR-LTSE-2020-22
34-90731 Dec. 18, 2020 Notice of Filing of a Proposed Rule Change to Adopt Rules Related to Promotional Services and Listing Ceremonies for Listed Companies
Comments due: January 19, 2021
Additional Materials: Exhibit 5
SR-LTSE-2020-19
34-90141 Oct. 8, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Continue Suspending the Application of Order Price Collars in Rule 11.190(f)(1) Until December 8, 2020
Comments due: November 6, 2020
SR-LTSE-2020-18
34-90125 Oct. 8, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280
Comments due: November 4, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-16
34-89877 Sep. 15, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.410(a)
Comments due: October 13, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-15
34-89766 Sep. 3, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Continue Suspending the Application of Order Price Collars in Rule 11.190(f)(1) Until October 8, 2020
Comments due: October 1, 2020
SR-LTSE-2020-14
34-89710 Aug. 28, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend the Application of Order Price Collars in Rule 11.190(f)(1) Until September 8, 2020
Comments due: September 24, 2020
SR-LTSE-2020-13
34-89668 Aug. 25, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.410(a)
Comments due: September 21, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-12
34-89440 Jul. 31, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Compliance Rule Regarding the CAT NMS Plan
Comments due: August 27, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-11
34-89254 Jul. 8, 2020 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-LTSE-2020-10
34-89216 Jul. 2, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Designation of Members for Mandatory Disaster Recovery Testing Pursuant to Regulation SCI for Calendar Year 2020
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-LTSE-2020-09
34-89120 Jun. 22, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the LTSE Rule 11.600 Series (Consolidated Audit Trail Compliance Rule)
Comments due: July 17, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-08
34-88515 Mar. 30, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pre-Market Session and Regular Market Session Opening Process for Non-LTSE-Primary-Listed Securities
Comments due: April 24, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-07
34-88427 Mar. 19, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.280 Concerning the Resumption of Trading following a Level 3 Market-wide Circuit Breaker Halt
Comments due: April 15, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-06
34-88439 Mar. 20, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trading of Exchange Traded Products on an Unlisted Trading Privileges Basis
Comments due: April 16, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-05
34-88394 Mar. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fingerprint-Based Background Checks
Comments due: April 10, 2020
SR-LTSE-2020-04
34-88248 Feb. 20, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Annual Membership Fee
Comments due: March 18, 2020
Additional Materials: Exhibit 5
SR-LTSE-2020-03
34-88133 Feb. 6, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Initial Listing Fee and Annual Listing Fee
Comments due: March 4, 2020
Additional Materials: Exhibit 5