43 filings
EFFECT
LPLA
LPL Financial Holdings Inc
2 Nov 23
Notice of effectiveness
12:15am
CORRESP
LPLA
LPL Financial Holdings Inc
30 Oct 23
Correspondence with SEC
12:00am
CORRESP
LPLA
LPL Financial Holdings Inc
27 Oct 23
Correspondence with SEC
12:00am
CORRESP
LPLA
LPL Financial Holdings Inc
17 Oct 23
Correspondence with SEC
12:00am
UPLOAD
LPLA
LPL Financial Holdings Inc
6 Oct 23
Letter from SEC
12:00am
CT ORDER
ccxka8ypm0j85sp
20 Dec 19
Confidential treatment order
11:10am
CT ORDER
r2udpojl
15 Mar 19
Confidential treatment order
12:00am
CT ORDER
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17 Sep 14
Confidential treatment order
12:00am
UPLOAD
st4l08r4pb1e64w5e6
2 Apr 14
Letter from SEC
12:00am
UPLOAD
3ydoq3i8s9zl
31 Mar 14
Letter from SEC
12:00am
CORRESP
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26 Mar 14
Correspondence with SEC
12:00am
CORRESP
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20 Mar 14
Correspondence with SEC
12:00am
UPLOAD
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18 Mar 14
Letter from SEC
12:00am
UPLOAD
n3sdqi
17 Jan 14
Letter from SEC
12:00am
CORRESP
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13 Jan 14
Correspondence with SEC
12:00am
UPLOAD
6bvwd6
30 Dec 13
Letter from SEC
12:00am
IRAN
w6j76ntsdaeu8wy1
31 Jul 13
Disclosure regarding Iran Threat Reduction and Syria Human Rights Act
12:00am
UPLOAD
x4mf5rvfug
22 Mar 13
Letter from SEC
12:00am
CORRESP
im3 won1nlz3qe12
21 Mar 13
Correspondence with SEC
12:00am
UPLOAD
n53yxl1rxr
20 Mar 13
Letter from SEC
12:00am