SEC Comment Letter for LPL Financial Holdings Inc. (LPLA) (CIK 0001397911) (LPLA) — Apr 2, 2014
LPL Financial Holdings Inc. (LPLA) (CIK 0001397911)
Date: April 2, 2014 · CIK: 0001397911 · Accession: 0000000000-14-016474
AI Filing Summary & Sentiment
Letter
April 2, 2014 Via E -mail Gregory M. Woods Executive Vice President, Deputy General Counsel LPL Financial Holdings Inc. 75 State Street Boston, Massachusetts 02109
Re: LPL Financial Holdings Inc. Preliminary Proxy Statement on Schedule 14A Filed March 12, 2014 File No. 1-34963
Dear Mr. Wood s:
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 resp ect 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 la ws 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 includes the information the Securities Exchange Act of 1934 and all applicable rules require.
Sincerely,
/s/ Suzanne Hayes
Suzanne Hayes
Assistant Director
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April 2, 2014 Via E -mail Gregory M. Woods Executive Vice President, Deputy General Counsel LPL Financial Holdings Inc. 75 State Street Boston, Massachusetts 02109 Re: LPL Financial Holdings Inc. Preliminary Proxy Statement on Schedule 14A Filed March 12, 2014 File No. 1-34963 Dear Mr. Wood s: 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 resp ect 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 la ws 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 includes the information the Securities Exchange Act of 1934 and all applicable rules require. Sincerely, /s/ Suzanne Hayes Suzanne Hayes Assistant Director cc: Marko S. Zatylny, Ropes & Gray LLP