NATIONAL HOLDINGS CORP vs LPL Financial Holdings Inc., risk disclosures compared

3topics both disclose

1only NATIONAL HOLDINGS CORP

8only LPL Financial Holdings Inc.

What both disclose

Topics appearing in filings from both companies, and how many filings each.

Topic	NATIONAL HOLDINGS CORP	LPL Financial Holdings Inc.
Business Continuity	7	23
Ransomware	2	12
Internal Control	1	5

Only NATIONAL HOLDINGS CORP

Topic	Filings
Enforcement Action	1

Only LPL Financial Holdings Inc.

Topic	Filings
Restatement	6
Material Weakness	5
AI Governance	2
Artificial Intelligence	2
Data Governance	2
Third Party Risk Management	2
Consent Order	1
SOC 2	1

What this compares

Which of the topics we track appear in each company's SEC filings, and how often. A topic appearing for one company and not the other means one wrote the phrase down and the other did not, in the filings we hold. It does not mean one faces a risk the other does not, and it is not a comparison of how well either manages anything.

Counts reflect the filings we have collected, which is a growing subset rather than a company's complete history.

NATIONAL HOLDINGS CORP · LPL Financial Holdings Inc. · All companies