SEC Comment Letter for LPL Financial Holdings Inc. (LPLA) (CIK 0001397911) (LPLA) — Jan 17, 2014
LPL Financial Holdings Inc. (LPLA) (CIK 0001397911)
Date: Jan. 17, 2014 · CIK: 0001397911 · Accession: 0000000000-14-002722
AI Filing Summary & Sentiment
File numbers found in text: 001-34963
Letter
January 17, 2014 Via E -mail Dan H. Arnold Chief Financial Officer LPL Financial Holdings, Inc. 75 State Street Boston, MA 02109
Re: LPL Financial Holdings, Inc. Form 10 -K Filed February 26, 2013 File No. 001-34963
Dear Mr. Arnold:
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 s 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 persons who are responsible for the accuracy and adequacy of the disclosure in the filing to be certain that the filing include s the information the Securities Excha nge Act of 1934 and all applicable rules require.
Sincerely,
/s/ Suzanne Hayes
Suzanne Hayes
Assistant Director
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January 17, 2014 Via E -mail Dan H. Arnold Chief Financial Officer LPL Financial Holdings, Inc. 75 State Street Boston, MA 02109 Re: LPL Financial Holdings, Inc. Form 10 -K Filed February 26, 2013 File No. 001-34963 Dear Mr. Arnold: 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 s 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 persons who are responsible for the accuracy and adequacy of the disclosure in the filing to be certain that the filing include s the information the Securities Excha nge Act of 1934 and all applicable rules require. Sincerely, /s/ Suzanne Hayes Suzanne Hayes Assistant Director