Standard held by Allooloo Technologies Corp. · Open standard, MIT licence.

SM-ECO-10060 · United States

SM-ECO-10060sm-eco-10060.org/market/us/

United States · us-eco-10060

chapter us.chapter.v16 · supersedes us.chapter.v15 · as of 2026-11-01 · node us-cm-kg · https://mcp.us-cm-kg.ai/book/

7.2 The field element (every catalogue entry below is one of these)

Ask get_orderability with: the chapter names no client category yet (AIO client_categories not found), so no outcome can be concluded here · https://mcp.us-cm-kg.ai/book/aio.json

Appendix A · ECO market section

ECO · us.eco.v3 · supersedes us.eco.v2 · produced 2026-10-31T02:16:40Z · signed on the node door

The catalogue starts from identifying the duty, obtaining the relevant facts, recognising constraints, supporting an action and preserving evidence. It retains the current page's sourceable information and extends the chapter beyond the page. Each regime is scoped to the instruments, actors and activities its evidence applies to. No tax or settlement value is treated as universal to a market.

jurisdiction_scopeTerritory, regime boundaries and cross-border applicability
regime_boundary
FINRA Rule 2111 (Suitability) does not apply to recommendations subject to SEA Rule 15l-1 (Regulation Best Interest); Reg BI applies only to recommendations to retail customers, and FINRA's suitability rule is still needed for entities and institutions and for natural persons who will not use recommendations primarily for personal, family, or household purposes

source https://www.finra.org/rules-guidance/notices/20-18 · dated June 19, 2020

competent_authoritiesRegulators, competent authorities and allocation of responsibilityU.S. Securities and Exchange Commission (SEC) - homepage describes it as an agency that protects investors from misconduct and promotes fairness and efficiency in the securities markets

source https://www.sec.gov/ · dated not found

duty_mapApplicable product-governance and suitability duties by activity and actor
  • duty
    reasonable-basis suitability (FINRA Rule 2111)

source https://mcp.getissuer.ai/mcp · dated not found

regulated_activitiesActivities requiring authorisation and their scopenot found
product_categoriesInstrument classes, exclusions and special regimes
  • category
    Direct Participation Programs
    rule
    FINRA Rule 2310
  • category
    Variable Contracts of an Insurance Company
    rule
    FINRA Rule 2320
  • category
    Investment Company Securities
    rule
    FINRA Rule 2341
  • category
    Corporate Financing – Underwriting Terms and Arrangements
    rule
    FINRA Rule 5110

source https://www.finra.org/rules-guidance/notices/20-18 · dated June 19, 2020

issuer_and_listing_scopeDomicile, listing and issuer-status distinctionsnot found
exchanges_and_venuesVenue identities linked to AMP records

source https://www.nyse.com/listings_directory/stock · dated not found

information_storesAuthoritative regulated-information repositoriesEDGAR (SEC Electronic Data Gathering, Analysis and Retrieval) - SEC Search Filings / full text search

source https://www.sec.gov/edgar/search-and-access · dated not found

store_lookupDocumented lookup methods and identifier requirementsSEC Search Filings page: company search by name or ticker ('Starts with'/'Contains'), CIK Lookup at /search-filings/cik-lookup, Full Text Search at https://www.sec.gov/edgar/search/. No per-CIK URL pattern printed on the pages read

source https://www.sec.gov/search-filings · dated not found

periodic_reportingPeriodic duties, deadlines, triggering events and exceptions
  • report
    Form 10-K annual report
    deadline
    60 days after the end of the fiscal year for large accelerated filers; 75 days for accelerated filers; 90 days for all other registrants (General Instruction A(2))
  • report
    Form 10-Q quarterly report (first three fiscal quarters; none for Q4)
    deadline
    40 days after the end of the fiscal quarter for large accelerated filers and accelerated filers; 45 days for all other registrants (General Instruction A.1)

source https://www.sec.gov/files/form10-k.pdf · dated not found

ad_hoc_disclosureEvent-driven and inside-information disclosure obligationsForm 8-K: 'Unless otherwise specified, a report is to be filed or furnished within four business days after occurrence of the event.' Regulation FD disclosure via Item 7.01 (furnished) or Item 8.01 must follow the deadline in Rule 100(a) of Regulation FD; Item 1.05 (material cybersecurity incident) within four business days after the registrant determines it

source https://www.sec.gov/files/form8-k.pdf · dated not found

filing_formatsRequired formats, validation requirements and document typesInline XBRL: cover page and financial statement information in Forms 10-Q and 10-K, cover page and certain revised financials in Form 8-K (domestic filers); cover page and financial statements in Forms 20-F and 40-F (foreign private issuers)

source https://www.sec.gov/structureddata/osd-inline-xbrl.html · dated not found

filing_languagesRequired or accepted languages and translation conditionsEnglish: Regulation S-T Rule 306(a) - 'all electronic filings or submissions must be in the English language, except as otherwise provided by this rule' (as stated in SEC release 33-8099)

source https://www.sec.gov/rules-regulations/2002/05/mandated-edgar-filing-foreign-issuers · dated not found

prospectus_regimeOffering and admission requirements, exemptions and thresholdsnot found
product_disclosuresProduct documents and pre-contract information dutiesnot found
takeover_regimeOffer rules, control triggers and shareholder treatmentnot found
ownership_reportingSignificant holdings, beneficial ownership and notification dutiesnot found
short_sellingRestrictions, disclosure, locate or borrowing requirements, emergency measuresnot found
market_abuseInsider dealing, manipulation and related disclosure regimesnot found
market_calendarAuthoritative calendars and exceptional closuresNYSE market holidays 2026-2028 and early closes (1:00 p.m. ET), e.g. Friday Nov 27 2026 and Thursday Dec 24 2026

source https://www.nyse.com/markets/hours-calendars · dated not found

halts_sourcesOfficial halt and suspension sources with scopeNYSE current and historical trading halts (CSV download, email alerts; ET); Nasdaq Trader current trading halts

source https://www.nyse.com/trade-halt-current · dated not found

identifiersSecurity and entity identifier conventions and validation sourcesnot found
isin_prefixISIN prefix information and its limits as a jurisdiction indicatorUS - CUSIP Global Services (CGS) states it is 'responsible for the assignment of ISINs in the U.S. and in other areas where designated or appointed'

source https://www.cusip.com/identifiers.html · dated not found

lei_requirementsLegal Entity Identifier requirements and authoritative lookup referencesLEI = 20-character ISO 17442 code, issued by GLEIF-accredited LEI Issuers (Local Operating Units), searchable in the Global LEI Index via LEI Search. No US-specific LEI issuer or issuer-obligation statement read on an official page

source https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei · dated not found

settlementSettlement cycles by instrument and venue, exceptions and transition datesnot found
clearing_and_custodyClearing, depository, custody and asset-protection frameworksnot found
corporate_actionsRights, elections, notices and procedural deadlinesnot found
retail_accessRetail distribution limits, access restrictions and safeguards
  • rule
    FINRA Rule 2111 (Suitability)
    requirement
    A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer
    obligations
    • reasonable-basis suitability
    • customer-specific suitability
    • quantitative suitability
    exception
    This Rule shall not apply to recommendations subject to SEA Rule 15l-1 (Regulation Best Interest)
    institutional_exemption
    Rule 2111(b) provides an exemption to customer-specific suitability regarding institutional investors

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated June 30, 2020

cross_border_accessForeign participation and cross-border offering or service restrictionsnot found
tax_at_sourceWithholding regimes by income, instrument and recipient category; relief conditionsnot found
fees_and_leviesTransaction taxes, statutory levies and relevant charges
  • name
    Section 31 transaction fee rate (Sections 31(b) and (c) of the Exchange Act)
    rate
    $20.60 per $1,000,000
    effective
    April 4, 2026

source https://www.sec.gov/files/rules/other/2026/34-104909.pdf · dated February 27, 2026

conduct_and_conflictsConduct, inducement and conflict-management duties relevant to distribution
  • rule
    FINRA Rule 2111 (Suitability)
    duty
    A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated June 30, 2020

recordkeepingRetention, evidence, format and reconstruction requirements
  • rule
    FINRA Rule 4511(b)
    requirement
    Members shall preserve for a period of at least six years those FINRA books and records for which there is no specified period under the FINRA rules or applicable Exchange Act rules.

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/4511 · dated Dec. 5, 2011

complaints_and_redressComplaint, escalation and redress routesnot found
effective_changesEnacted, proposed and transitional changes, kept distinguishable
  • change
    Fiscal year 2026 annual adjustment to Section 31 fee rates (Sections 31(b) and (c))
    status
    enacted
    effective
    April 4, 2026

source https://www.sec.gov/files/rules/other/2026/34-104909.pdf · dated February 27, 2026

additional_duty_fieldsFurther sourceable duty-relevant fields, introduced through a versioned catalogue extensionnot found

Appendix B · ACM register section

ACM · us.acm.v3 · supersedes us.acm.v2 · produced 2026-10-31T01:50:59Z · signed on the node door

The register revision is incorporated by reference to ACM-68000 (Agent Clearance Manifest) canonical text v1.0 §8.1 and is not redrawn here. These are chapter attachment fields connecting the chapter to that register; they never redefine rule_version, signal meanings or revision internals.

register_revision_refExact immutable revision governed by ACM-68000 §8.1
rule_version
acm-68000/us/reasonable-basis-suitability-finra-rule-2111/r1
path
register/us/acm-68000-us-reasonable-basis-suitability-finra-rule-2111-r1.json
content_hash
sha256:35676240033cc13cc6cd00025e6e9c15137718ed81d56636bb3baac0627c19c7

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated June 30, 2020

register_schema_refAuthoritative register-revision schema and its versionACM-68000 canonical text v1.0 §8.1 — a register revision

source https://acm-68000.org/ · dated 2026-10-30

chapter_evidence_refImmutable chapter version and section from which the revision was produced
chapter
us.chapter.v3
chapter_sha256
sha256:eff37c073ff5acff8fcdff5f2cf4bdc5f7c6e11fac63a372b40ff9eeffa39c0e
sections
  • family
    ECO
    version
    us.eco.v2
    field
    duty_map
    sha256
    sha256:01e459b02c59a63f23275d77c227026f6a2a6e633b063fc78768aa5a24a39dca
  • family
    ACM
    version
    us.acm.v2
    sha256
    sha256:454140de50a78aad3dd8f817bcfc144d909efc072e5154408ea821cdf9273b19

source https://mcp.getissuer.ai/mcp · dated 2026-10-31

rule_applicabilityMarket-specific applicability evidence for the referenced revision

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated June 30, 2020

shared_revision_refShared-family revisions produced by the apex, where applicablenot found
national_overlay_refSeparately versioned national additions or exceptionsnot found
revision_change_evidenceSources supporting selection or succession of the referenced revision

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated June 30, 2020

Appendix C · AIO orderability section

standard AIO-10060 · AI Orderability

AIO · us.aio.v7 · supersedes us.aio.v6 · produced 2026-11-01T20:03:11Z · signed on the node door

The chapter describes the source-backed determination framework. A product-specific orderability result requires the product record, the client category, the relevant evidence and the applicable rule revision; this section never manufactures that result from market membership alone. It adds no field to the deployed receipt.

product_scopeProducts and instrument categories covered by the target-market regime

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated eff. June 30, 2020

target_marketPositive target-market criteria and their applicabilitynot found
negative_target_marketExplicit exclusions or incompatible client characteristics
  • exclusion
    retail investors, particularly those who plan to use them as traditional buy-and-hold investments
    applies_to
    volatility-linked ETPs
    rule
    Regulatory Notice 17-32
    source_url
    https://www.finra.org/rules-guidance/notices/17-32
    source_date
    October 16, 2017
    read_at
    2026-10-31T18:42:55Z

source https://www.finra.org/rules-guidance/notices/17-32 · dated October 16, 2017

distribution_conditionsPermitted distribution methods and constraints
  • condition
    reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer
    party
    A member or an associated person
    rule
    Rule 2111(a)
    source_url
    https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111
    source_date
    June 30, 2020
    read_at
    2026-10-31T20:08:07Z
  • condition
    sufficient information about the customer to have a reasonable basis to believe that the recommendation is suitable for that customer
    party
    member or associated person
    rule
    Supplementary Material .04
    source_url
    https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111
    source_date
    June 30, 2020
    read_at
    2026-10-31T20:08:07Z
  • condition
    customer-specific suitability obligation for an institutional account, as defined in Rule 4512 (c)
    party
    member or associated person; institutional customer
    discharged_by
    the institutional customer affirmatively indicates that it is exercising independent judgment in evaluating the member's or associated person's recommendations
    rule
    Rule 2111(b); Supplementary Material .07
    source_url
    https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111
    source_date
    June 30, 2020
    read_at
    2026-10-31T20:08:07Z
  • condition
    cannot disclaim any responsibilities under the suitability rule
    party
    A member or associated person
    rule
    Supplementary Material .02
    source_url
    https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111
    source_date
    June 30, 2020
    read_at
    2026-10-31T20:08:07Z

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated June 30, 2020

required_assessmentsSuitability, appropriateness or other assessment requirements and triggers

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated June 30, 2020

product_documentationRequired product, risk and target-market documentsnot found
manufacturer_distributor_rolesResponsibilities and information exchange between actors
  • actor
    member or an associated person
    role
    must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer
    rule
    FINRA Rule 2111(a)
    source_url
    https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111
    source_date
    June 30, 2020
    read_at
    2026-10-31T18:42:55Z
  • actor
    capital acquisition broker or an associated person of a capital acquisition broker
    role
    must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer
    rule
    Capital Acquisition Broker Rule 211(a)
    source_url
    https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211
    source_date
    June 30, 2020
    read_at
    2026-10-31T18:42:55Z
  • actor
    agent, such as an investment adviser or a bank trust department
    role
    institutional-customer exemption factors applied to the agent where decisionmaking authority is delegated
    rule
    FINRA Rule 2111(b)
    source_url
    https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111
    source_date
    June 30, 2020
    read_at
    2026-10-31T18:42:55Z

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated June 30, 2020

review_triggersRequired review events and periodic review conditions
  • event
    series of recommended transactions
    period_or_condition
    not excessive and unsuitable for the customer when taken together in light of the customer's investment profile
    party
    member or associated person
    rule
    Rule 2111 Supplementary Material .05(c)
    source_url
    https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111
    source_date
    June 30, 2020
    read_at
    2026-10-31T18:42:55Z

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated June 30, 2020

evidence_requirementsEvidence needed to support a scoped outcome
  • requirement
    reasonable basis to believe, documented with specificity, that one or more of the factors are not relevant components of a customer's investment profile
    applies_to
    relief from obligation to obtain and analyze all factors delineated in Rule 2111(a)

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated June 30, 2020

manufacturer_evidence_acceptednot found
exceptionsSource-backed exceptions with conditions and boundaries

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated June 30, 2020

orderability_profile_refSchema for the product, market and client-class outcome produced under these rulesnot found
sourcesSupporting documents and provenance not attached to a specific field
  • document
    FINRA Rule 2111. Suitability
    provenance
    Adopted by SR-FINRA-2010-039 and amended by SR-FINRA-2011-016 and SR-FINRA-2012-027 eff. July 9, 2012

source https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 · dated July 9, 2012

Appendix D · AMP venue section

standard AMP-10060 · Agentic Market Protocol

AMP · us.amp.v3 · supersedes us.amp.v2 · produced 2026-11-01T00:30:57Z · signed on the node door

Each venue record is keyed by its evidenced Market Identifier Code (MIC). Where an activity has no applicable code, the gap is preserved with a separately typed reference; no code is invented. This section supplies reference information only; it establishes no entitlement, permission to route or order placement. A later permission profile requires its own actor, instrument, action and endpoint evidence.

venue_mic · XNYS

source https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv · dated 20250428

venue_identityVenue name, operator and authoritative identity evidence
name
New York Stock Exchange LLC

source https://www.sec.gov/file/exhibit-5-5809 · dated July 14, 2005

venue_scopeOperating or segment scope, products and jurisdiction bindings
rule_applicability
The Exchange’s Rules shall apply to all member organizations and persons associated with a member organization.
regulatory_services
The Exchange and the Financial Industry Regulatory Authority, Inc. ("FINRA") are parties to a Regulatory Services Agreement

source https://www.sec.gov/file/34-98048-ex5 · dated 2023-08-03

rules_pageAuthoritative venue rule sourcenot found
haltsOfficial halt information and applicability scopenot found
calendarSessions, holidays and exceptional closuresnot found
clearing_houseClearing relationships by instrument and servicenot found
market_maker_obligationsSource-backed obligations and exemptions for market makers
  • role
    DMM unit
    obligation
    Each DMM unit subject to Rule 104 shall at all times maintain or have allocated to it minimum Net Liquid Assets equal to the greater of (i) $1,000,000 or (ii) $125,000 for every 0.1% of Exchange Transaction Dollar Volume in each of the DMM unit's registered securities.
  • role
    DMM
    obligation
    A declaration of extreme market volatility shall not relieve DMMs from the obligation to make pre-opening indications in situations where the opening of a security is delayed for reasons unrelated to the extreme market volatility condition.

source https://www.sec.gov/file/exhibit-5-5809 · dated July 14, 2005

gatesDocumented entry, membership and access prerequisitesnot found
settlement_linksRelated market or venue settlement recordsnot found

venue_mic · XNAS

source https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv · dated 20260427

venue_identityVenue name, operator and authoritative identity evidencenot found
venue_scopeOperating or segment scope, products and jurisdiction bindingsnot found
rules_pageAuthoritative venue rule sourcenot found
calendarSessions, holidays and exceptional closuresnot found
clearing_houseClearing relationships by instrument and servicenot found
participant_rolesDefined participant categories and responsibilitiesnot found
market_maker_obligationsSource-backed obligations and exemptions for market makersnot found
gatesDocumented entry, membership and access prerequisites
  • venue
    Nasdaq Market Center
    gate
    Participant registration
    requirement
    Participation in the Nasdaq Market Center as a Nasdaq Market Maker, Nasdaq ECN or Order Entry Firm requires current registration as such with Nasdaq
    conditions
    • execution of applicable agreements with Nasdaq
    • membership in, or access arrangement with a participant of, a clearing agency registered with the Commission which maintains facilities through which Nasdaq Market Center compared trades may be settled
    • compliance with all applicable rules and operating procedures of Nasdaq and the Commission in their use of the System
    • maintenance of the physical security of the equipment
    • acceptance and settlement of each Nasdaq Market Center trade
    • input of accurate information into the System
  • venue
    Nasdaq Market Center
    gate
    Sponsored Participants
    requirement
    To obtain authorized access to the Exchange, each Sponsored Participant must enter into a Sponsored Participant Agreement with the Exchange

source https://www.sec.gov/file/exhibit-5-4249 · dated 2023-04-08

reference_endpointsPublic reference locations with purpose and sourcenot found
settlement_linksRelated market or venue settlement recordsnot found
change_noticesVersioned rules changes and operational notices
  • filing
    SR-NASDAQ-2015-034
    change
    Rule 4615 Sponsored Participants added (previously Reserved); Rule 4611(d) Access to a Trading Center deleted
    note
    New text is underlined; deleted text is in brackets.

source https://www.sec.gov/file/exhibit-5-4249 · dated 2023-04-08

sourcesAdditional source-backed venue evidence
  • field
    venue_status
    value
    The Nasdaq Stock Market LLC is a registered national securities exchange in the United States owned and operated by Nasdaq, Inc.

source https://www.sec.gov/Archives/edgar/vprr/2400/24003453.pdf · dated October 2, 2024

venue_mic · CBOE

source https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv · dated 20200127

venue_identityVenue name, operator and authoritative identity evidencenot found
venue_scopeOperating or segment scope, products and jurisdiction bindingsnot found
rules_pageAuthoritative venue rule sourcenot found
haltsOfficial halt information and applicability scope
  • rule
    Rule 5.22. Market-wide Trading Halts Due to Extraordinary Market Volatility
    venue
    Cboe Exchange, Inc.
    scope
    all stocks and stock options
    trigger
    market-wide trading halt commonly known as a circuit breaker initiated in response to extraordinary market conditions

source https://www.sec.gov/rules/sro/cboe/2020/34-90165-ex5.pdf · dated 2023-04-08

calendarSessions, holidays and exceptional closures
  • session
    Global Trading Hours
    venue
    Cboe Exchange, Inc.
    hours
    3:00 a.m. to 9:15 a.m.
    days
    Monday through Friday
    exception
    Except under unusual conditions as may be determined by the Exchange

source https://www.sec.gov/rules/sro/cboe/2019/34-87846-ex5.pdf · dated 2023-04-08

clearing_houseClearing relationships by instrument and servicenot found
participant_rolesDefined participant categories and responsibilities
  • role
    DPM
    venue
    Cboe Exchange, Inc.
    responsibility
    must satisfy each of the following requirements in the classes appointed to the DPM

source https://www.sec.gov/rules/sro/cboe/2019/34-87846-ex5.pdf · dated 2023-04-08

market_maker_obligationsSource-backed obligations and exemptions for market makers
  • rule
    Rule 5.52(d) Continuous Electronic Quotes
    venue
    Cboe Exchange, Inc.
    obligation
    A Market-Maker must enter continuous electronic bids and offers

source https://www.sec.gov/rules/sro/cboe/2019/34-87846-ex5.pdf · dated 2023-04-08

gatesDocumented entry, membership and access prerequisitesnot found
reference_endpointsPublic reference locations with purpose and sourcenot found
settlement_linksRelated market or venue settlement recordsnot found
change_noticesVersioned rules changes and operational noticesnot found
sourcesAdditional source-backed venue evidencenot found

venue_mic · TXSE

source https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv · dated 20251124

venue_identityVenue name, operator and authoritative identity evidencenot found
venue_scopeOperating or segment scope, products and jurisdiction bindingsnot found
rules_pageAuthoritative venue rule sourcenot found
haltsOfficial halt information and applicability scopenot found
calendarSessions, holidays and exceptional closures
  • type
    holiday closure
    date
    Monday, September 7, 2026
    holiday
    Labor Day
    status
    closed

source https://www.txse.com/alerts/c829d9e3-ccb9-415f-87ff-42385b0f1d97 · dated Aug 31, 2026

participant_rolesDefined participant categories and responsibilities
  • role
    Members
    responsibilities
    Members must establish and maintain written supervisory procedures to ensure compliance with applicable securities laws and Exchange rules.

source https://www.txse.com/alerts/988d5b3a-a431-4c6f-965c-2980dbbb5f2f · dated Oct 23, 2026

market_maker_obligationsSource-backed obligations and exemptions for market makersnot found
settlement_linksRelated market or venue settlement recordsnot found
change_noticesVersioned rules changes and operational notices
  • id
    SR-TXSE-2026-043
    title
    Proposal to permit midyear increases in ETP listing tiers and provide for prorated incremental listing fees.
    date
    Oct 27, 2026
  • id
    SR-TXSE-2026-041
    title
    Proposal to adopt generic listing standards for Commodity-Based Trust Shares.
    date
    Oct 16, 2026
  • id
    SR-TXSE-2026-040
    title
    Proposal to implement Corporate Listing Fees on the Exchange.
    date
    Oct 7, 2026
  • id
    SR-TXSE-2026-035
    title
    Proposal to amend the Fee Schedule
    date
    Oct 1, 2026
  • id
    SR-TXSE-2026-014
    title
    Proposal to adopt connectivity fees for connecting to the Exchange
    date
    Jul 22, 2026
  • id
    SR-TXSE-2026-011
    title
    Proposal to adopt the initial fee schedule applicable to Members of the Exchange
    date
    Jul 7, 2026

source https://www.txse.com/regulations/rules-filings · dated Oct 27, 2026

sourcesAdditional source-backed venue evidencenot found

Appendix E · ESG disclosure section

standard ESG-10060 · Sustainability Disclosure

ESG · us.esg.v4 · supersedes us.esg.v3 · produced 2026-11-01T00:43:56Z · signed on the node door

Sustainability disclosure remains a specialised ECO record with its rules in ACM. A jurisdiction's adoption of a framework is distinct from the framework's application to a particular issuer or period; the schema preserves that distinction and never turns disclosure availability into a sustainability rating.

authorityResponsible issuing or supervisory authorities
  • authority
    Securities and Exchange Commission (“Commission”)
    role
    adopting amendments to its rules
    rule
    Securities Act of 1933; Securities Exchange Act of 1934
    source_url
    https://www.sec.gov/rules-regulations/2024/03/s7-10-22
    source_date
    March 6, 2024
    read_at
    2026-11-01T00:42:12Z

source https://www.sec.gov/rules-regulations/2024/03/s7-10-22 · dated March 6, 2024

applicabilityCovered entities, products, thresholds and exemptions

source https://www.sec.gov/files/33-11275-fact-sheet.pdf · dated 2024-03-06

adoption_stageProposal, adoption, commencement and transitional operation, distinguishednot found
effective_datesEffective intervals and staged commencement conditionsnot found
disclosure_dutiesRequired disclosures, reporting periods and filing obligations

source https://www.sec.gov/files/rules/proposed/2026/33-11421.pdf · dated 2026-06-03

reporting_standardsReferenced disclosure standards and applicable editionsnot found
taxonomyClassification frameworks, criteria and binding statusnot found
climate_requirementsSource-backed climate disclosure requirements and scopenot found
assuranceRequired assurance, qualifications and transition conditionsnot found
filing_store_and_formatAuthoritative destination and required filing formatnot found
interoperabilityRecognised equivalence, mapping or substituted-compliance provisionsnot found
rule_revision_refApplicable immutable ACM disclosure-rule revisionsnot found
sourcesSupporting regime and disclosure evidencenot found