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(c) (LTSE Rule 2.154) - Continuing Education Program for Persons Maintaining Their Qualification Following the Termination of a Registration Category

Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements)

Amended by SR-FINRA-2021-015 eff. March 15, 2022

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

No pending or recently effective changes.

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

No pending or recently effective changes.

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.

FINRA Rule 4360 (LTSE Rule 2.240) - Fidelity Bonds

No pending or recently effective changes.

FINRA Rule 4511 (LTSE Rule 4.511) - General Requirements

No pending or recently effective changes.

FINRA Rule 4512 (LTSE Rule 4.512) - Customer Account Information

No pending or recently effective changes.

FINRA Rule 4513 (LTSE Rule 4.513) - Records of Written Customer Complaints

No pending or recently effective changes.

FINRA Rule 4560 (LTSE Rule 3.293) - Short-Interest Reporting

No pending or recently effective changes.

FINRA Rule 5270 (LTSE Rule 10.260) - Front Running of Block Transactions

No pending or recently effective changes.

FINRA Rule 5310 (LTSE Rule 10.220) - Best Execution and Interpositioning

No pending or recently effective changes.

FINRA Series 12000 and 13000, Rule 2268 (LTSE Rule 12.110) - Code of Arbitration

Proposed Rule Change to Amend FINRA Rules to Reflect Name Changes to Two FINRA Departments the Office of Dispute Resolution and the Department of Registration and Disclosure

https://www.finra.org/rules-guidance/rule-filings/sr-finra-2020-039 

Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees

https://www.finra.org/rules-guidance/rule-filings/sr-finra-2020-035