Hello!
To view this content, please sign up or log in – it’s free and easy! Stay ahead with curated regulatory insights designed for professionals like you.
Brief
The Securities and Exchange Commission instituted administrative and cease-and-desist proceedings against LPL Financial LLC for alleged violations. On January 30, 2025, the respondent filed a motion to modify undertakings and stay their effectiveness. The Division of Enforcement requested a one-week extension of time to respond to the motion, citing good cause. The main purpose is to grant an extension of time for the Division to respond to LPL Financial LLC's motion. This will allow the Commission to consider the request and make a decision on the motion.
Highlights content goes here...
Hello!
To view this content, please sign up or log in – it’s free and easy! Stay ahead with curated regulatory insights designed for professionals like you.
RADA.AI
Hello! I'm RADA.AI - Regulatory Analysis and Decision Assistance. Your Intelligent guide for compliance and decision-making. How can i assist you today?
Suggested
