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: December 4, 2018
(Date of earliest event reported)
E*TRADE Financial Corporation
(Exact name of Registrant as Specified in its Charter)
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Delaware
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1-11921
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94-2844166
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(State or other jurisdiction
of incorporation or organization)
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(Commission File Number)
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(I.R.S. Employer
Identification Number)
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11 Times Square, New York, New York
10036
(Address of Principal Executive Offices and Zip Code)
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(646) 521-4300
(Registrant’s Telephone Number, including Area Code)
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Not Applicable
(Former name or former address, if changed since last report)
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______________________________
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))
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. ☐
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Item 7.01
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Regulation FD Disclosure
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E*TRADE Financial Corporation (the “Company”) is presenting at the Goldman Sachs U.S. Financial Services Conference tomorrow morning, December 5, 2018. During the presentation, the Company will discuss its Daily Average Revenue Trades (DARTs), and customer margin balances
for the month of November. For November 2018, the Company reports preliminary DARTs of 275,000, a 9 percent decrease from October. Derivatives represented 32 percent of total preliminary DARTs in November. Preliminary customer margin balances ended the month at $10.8 billion, down from the October month-end balance of $11.2 billion. The Company intends to issue its standard
monthly activity report for November on or about December 14, 2018.
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.
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E*TRADE FINANCIAL CORPORATION |
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| Dated: December 4, 2018 |
By:
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/s/ Lori S. Sher |
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Name: Lori S. Sher |
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Title: Corporate Secretary |
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