LD-2 disclosure · 4th Quarter - Report
LPL FINANCIAL CORPORATION
Client
- Description
- Independent broker-dealer providing diversified financial services
- Location
- Massachusetts · United States of America
Registrant
- Description
- Government relations firm
- Location
- Washington, District of Columbia, United States of America
Lobbying activities
3 issuesFinancial Institutions/Investments/Securities
Implementation of the "Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010," including regulation of broker-dealers and harmonization of regulation of broker-dealers and investment advisers. Definition of "fiduciary" and application to providers of brokerage services.
LobbyistsMITCHELL FEUER · PETER RICH · mr JOHN A ANDERSON · RACHEL GOLDBERG · ALEX TEEL
Covered position (MITCHELL FEUER): Counsel, Senate Banking Committee
Covered position (PETER RICH): Counsel, House Energy and Commerce Committee
Covered position (mr JOHN A ANDERSON): Sr. Pol. Advsr., Sen. Crapo; Leg. Asst., Rep. Metcalf
Covered position (ALEX TEEL): Prof. Staff Mem., House Committee on Financial Services
TargetedSENATE · HOUSE OF REPRESENTATIVES
Retirement
Definition of "fiduciary" under ERISA and application to providers of brokerage services. Tax incentives for retirement savings.
LobbyistsMITCHELL FEUER · PETER RICH · mr JOHN A ANDERSON · RACHEL GOLDBERG · ALEX TEEL
Covered position (MITCHELL FEUER): Counsel, Senate Banking Committee
Covered position (PETER RICH): Counsel, House Energy and Commerce Committee