0001157523-19-001960.txt : 20190910 0001157523-19-001960.hdr.sgml : 20190910 20190910083048 ACCESSION NUMBER: 0001157523-19-001960 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 12 CONFORMED PERIOD OF REPORT: 20190910 ITEM INFORMATION: Regulation FD Disclosure FILED AS OF DATE: 20190910 DATE AS OF CHANGE: 20190910 FILER: COMPANY DATA: COMPANY CONFORMED NAME: E TRADE FINANCIAL CORP CENTRAL INDEX KEY: 0001015780 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 942844166 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 191084330 BUSINESS ADDRESS: STREET 1: 11 TIMES SQUARE, 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 6465214340 MAIL ADDRESS: STREET 1: 11 TIMES SQUARE, 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE FINANCIAL Corp DATE OF NAME CHANGE: 20111205 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE Fiancial Corp DATE OF NAME CHANGE: 20111130 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE FINANCIAL Corp DATE OF NAME CHANGE: 20111025 8-K 1 a52090500.htm E*TRADE FINANCIAL CORPORATION 8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
FORM 8-K
 
 
 
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
 
 
Date of report: September 10, 2019
(Date of earliest event reported)


E*TRADE Financial Corporation
(Exact name of Registrant as Specified in its Charter)
 
Delaware
001-11921
94-2844166
(State or other jurisdiction
of incorporation or organization)
(Commission File Number)
(I.R.S. Employer
Identification Number)
11 Times Square, New York, New York 10036
(Address of Principal Executive Offices and Zip Code)
(646) 521-4300
(Registrant’s Telephone Number, including Area Code)

Not Applicable
(Former name or former address, if changed since last report)


 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
☐            Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
☐            Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
☐            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
☐            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
Securities Registered Pursuant to Section 12(b) of the Act:

Title of Each Class
Trading Symbol
Name of Each Exchange on Which Registered
Common Stock, par value $0.01 per share
ETFC
The Nasdaq Stock Market LLC
NASDAQ Global Select Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company                                                                          ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item  7.01
Regulation FD Disclosure

E*TRADE Financial Corporation (the “Company”) is presenting at the 2019 Barclays Global Financial Services Conference today, September 10, 2019. During the presentation, the Company will discuss its Daily Average Revenue Trades (DARTs) for the month of August. For August 2019, the Company reports preliminary DARTs of 285,000, a 12 percent increase from July. Derivatives represented 35 percent of total preliminary DARTs in August. The Company intends to issue its standard monthly activity report for August on or about September 16, 2019.

The information appearing in this Item 7.01 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, or otherwise subject to the liabilities of that section. This report will not be deemed an admission as to the materiality of any information in the report that is required to be disclosed solely by Regulation FD.
SIGNATURE
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
Dated: September 10, 2019
 
 
E*TRADE FINANCIAL CORPORATION
   
 
By:
    /s/
Lori S. Sher
 
 
  
Lori S. Sher
Corporate Secretary

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Document and Entity Information
Sep. 10, 2019
Cover [Abstract]  
Document Type 8-K
Amendment Flag false
Document Period End Date Sep. 10, 2019
Entity Registrant Name E*TRADE Financial Corporation
Entity Incorporation, State or Country Code DE
Entity File Number 001-11921
Entity Tax Identification Number 94-2844166
Entity Address, Address Line One 11 Times Square
Entity Address, City or Town New York
Entity Address, State or Province NY
Entity Address, Postal Zip Code 10036
City Area Code 646
Local Phone Number 521-4300
Entity Information, Former Legal or Registered Name Not Applicable
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity Emerging Growth Company false
Entity Central Index Key 0001015780
Title of 12(b) Security Common Stock, par value $0.01 per share
Trading Symbol ETFC
Security Exchange Name NASDAQ
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