Recent Updates
09/06/2018
On Friday, August 31, President Trump signed an
Executive Order that aims to help small businesses offer retirement savings plans to their employees. “We believe this is a huge win for investors,” said Peggy Ho, executive vice president, Government Relations, adding “There is a large percentage of investors who want to save for retirement, but don’t have access to affordable options. This order will help address this savings gap.”
Read more here.
08/08/2018
LPL Financial 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
Who We Are
Our Government Relations team is dedicated to advancing LPL Financial’s interests with legislators and regulators in Washington, DC and the 50 states through advocacy and education. Through consistent engagement, and supported by the voice of the LPL Political Action Committee, we are able to position LPL as a recognized thought leader and valued resource on issues affecting the delivery of objective financial guidance and advice. With offices in Washington, DC, Boston, San Diego, Charlotte, and Cleveland, and by leveraging our 50-state network of financial advisors, we are well aligned to meet advisors' needs by addressing critical policy initiatives.
