LD-2 disclosure · 2nd 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
Regulation of investment advisors. Implementation of the "Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010," including regulation of broker-dealers and harmonziation of regulation of broker-dealers and investment advisors (including HR 4624, the "Investment Adviser Oversight Act of 2012"). Definition of "fiduciary" under ERISA and application to providers of brokerage services.
LobbyistsMITCHELL FEUER · PETER RICH · ms TARA W FOSCATO
Covered position (MITCHELL FEUER): Counsel, Senate Banking Committee
Covered position (PETER RICH): Counsel, House Energy and Commerce Committee
TargetedSENATE · HOUSE OF REPRESENTATIVES
Retirement
Definition of "fiduciary" under ERISA and application to providers of brokerage services. Tax incentives for retirement savings, including H.Con. Res. 101 and HR 4049, the "Automatic IRA Act of 2012."
LobbyistsMITCHELL FEUER · PETER RICH · ms TARA W FOSCATO
Covered position (MITCHELL FEUER): Counsel, Senate Banking Committee
Covered position (PETER RICH): Counsel, House Energy and Commerce Committee
TargetedSENATE · HOUSE OF REPRESENTATIVES