SEC

LPL Financial Submits Comment Letter to the SEC

August 08, 2018

LPL Financial

LPL Financial is committed to advocating for enhancements to the Securities and Exchange Commission’s Regulation Best Interest and related proposals.

LPL Financial today submitted a comment letter with the Securities and Exchange Commission (SEC) regarding Regulation Best Interest and related proposals. In the letter, LPL offers its general support for the SEC’s proposals and efforts to adopt a best interest standard for broker-dealers.  LPL shares the SEC’s goal of enhancing investor protection, while also preserving access and choice between advice models and product types, and appreciates having had the opportunity to share its comments and suggestions in support of this common goal. 

Read the full SEC comment letter

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