Current Report Filing (8-k)
20 April 2018 - 6:33AM
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 (Date of earliest event reported): April 19, 2018
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
|
(State or other jurisdiction
of incorporation)
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(Commission File Number)
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(I.R.S. Employer
Identification No.)
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11 Times Square, 32
nd
Floor, New York, New York 10036
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(Address of principal executive offices and Zip Code)
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(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 2.02.
|
RESULTS OF OPERATIONS AND FINANCIAL CONDITION
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On April 19, 2018, E*TRADE Financial Corporation (the “Company”)
announced its first quarter earnings for fiscal year 2018. A copy of the
Company’s press release is attached hereto as Exhibit 99.1 and
incorporated by reference herein.
The information furnished shall not be deemed “filed” for purposes of
Section 18 of the Securities Exchange Act of 1934, or incorporated by
reference into any filing thereunder or under the Securities Act of 1933
unless expressly set forth by specific reference in such filing.
ITEM 7.01.
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REGULATION FD DISCLOSURE
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Additionally, the Company published an updated version of its investor
presentation with data for the quarter ended March 31, 2018. The
presentation is available on the Company’s corporate website,
about.etrade.com
.
Investors should note that the Company announces material financial
information in SEC filings, press releases and public conference calls.
Based on guidance from the SEC, the Company may also use the Investor
Relations section of its corporate website,
about.etrade.com
, to
communicate with investors about the Company. It is possible that the
financial and other information posted there could be deemed to be
material information. The information on the Company’s corporate website
is not part of this document.
ITEM 9.01.
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FINANCIAL STATEMENTS AND EXHIBITS
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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:
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April 19, 2018
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E*TRADE FINANCIAL CORPORATION
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By:
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/s/ Lori S. Sher
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Lori S. Sher
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Corporate Secretary
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