Current Report Filing (8-k)
07 December 2017 - 12:16AM
Edgar (US Regulatory)
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 6, 2017
(Date
of earliest event reported)
E*TRADE
Financial Corporation
(Exact
name of Registrant as Specified in its Charter)
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)
(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))
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
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Regulation FD Disclosure
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E*TRADE Financial Corporation (the “Company”) is presenting at the
Goldman Sachs US Financial Services today. During the presentation, the
Company will discuss the following:
For November 2017, the Company reports DARTs of 249,000, a 15 percent
increase from October. Derivatives represented 31 percent of total DARTs
in November, flat from the prior month. The Company intends to issue its
standard monthly activity report for November on or about December 14,
2017.
Through December 4, 2017, the Company has repurchased 3.2 million shares
at an average price of $44.08 during the fourth quarter of 2017.
As of December 4, 2017, the Company’s pipeline of Corporate Services
stock plan assets expected to be implemented within the next six
quarters is approximately $14 billion, up from approximately $8 billion
at the time third quarter 2017 earnings were reported on October 19,
2017.
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.
SIGNATURES
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:
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December 6, 2017
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By:
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/s/ Lori S. Sher
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Name:
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Lori S. Sher
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Title:
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Corporate Secretary
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