SEC Comment Letter for LPL Financial Holdings Inc. (LPLA) (CIK 0001397911) (LPLA) — Mar 22, 2013
LPL Financial Holdings Inc. (LPLA) (CIK 0001397911)
Date: March 22, 2013 · CIK: 0001397911 · Accession: 0000000000-13-015274
AI Filing Summary & Sentiment
Letter
March 22, 2013 Via E -mail Mark S. Casady Chairman and Chief Executive Officer LPL Financial Holdings Inc. 75 State Street Boston, MA 02109
Re: LPL Financial Holdings Inc. Preliminary Proxy Statement on Schedule 14A Filed March 15, 2013 File No. 001 -34963
Dear Mr. Cassady :
We have completed our review of your filing . We remind you that our comments or changes to disclosure in response to our comments do not foreclose the Commission from taking any action with respect to the company or the filing and the company may not assert staff comments as a defense in any proceeding initiated by the Commission or any person under the federal securities laws of the United States. We urge all per sons who are responsible for the accuracy and adequacy of the disclosure in the filing to be certain that the filing includes the information the Securities Exchange Act of 1934 and all applicable rules require.
Sincerely,
/s/ Suzanne Hayes
Suzanne Hayes
Assistant Direc tor
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March 22, 2013 Via E -mail Mark S. Casady Chairman and Chief Executive Officer LPL Financial Holdings Inc. 75 State Street Boston, MA 02109 Re: LPL Financial Holdings Inc. Preliminary Proxy Statement on Schedule 14A Filed March 15, 2013 File No. 001 -34963 Dear Mr. Cassady : We have completed our review of your filing . We remind you that our comments or changes to disclosure in response to our comments do not foreclose the Commission from taking any action with respect to the company or the filing and the company may not assert staff comments as a defense in any proceeding initiated by the Commission or any person under the federal securities laws of the United States. We urge all per sons who are responsible for the accuracy and adequacy of the disclosure in the filing to be certain that the filing includes the information the Securities Exchange Act of 1934 and all applicable rules require. Sincerely, /s/ Suzanne Hayes Suzanne Hayes Assistant Direc tor