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EX-99.1 - EXHIBIT 99.1 - E TRADE FINANCIAL Corpd444837dex991.htm

 

 

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: November 28, 2012

(Date of earliest event reported)

 

 

E*TRADE Financial Corporation

(Exact name of Registrant as Specified in its Charter)

 

Delaware   1-11921   94-2844166

(State or other jurisdiction

of incorporation or organization)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification Number)

1271 Avenue of the Americas, 14th Floor, New York, New York 10020

(Address of Principal Executive Offices and Zip Code)

(646) 521-4300

(Registrant’s Telephone Number, including Area Code)

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))

 

 

 


Item 7.01. REGULATION FD DISCLOSURE

E*TRADE Financial Corporation (the “Company”) is presenting today at the KBW Securities Brokerage & Market Structure Conference. A copy of the Company’s presentation is attached hereto as Exhibit 99.1 and is incorporated by reference herein. During the presentation, the Company will discuss its November 2012 month-to-date statistics for Daily Average Revenue Trades (DARTs) and customer net securities purchases. For the period through November 27, the Company reports DARTs of approximately 132,000, a six percent increase from October and a seven percent decrease from November 2011. The Company also reports that for the period through November 26, customers were net buyers of approximately $270 million in securities. The Company intends to issue its standard monthly activity report for the full period, including loan performance data for the October and November periods, on or about December 19, 2012.

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.

 

Item 9.01. Financial Statements and Exhibits.

 

  (d) Exhibits.

 

Exhibit

No.

  

Description

99.1    Investor Presentation for KBW Securities Brokerage & Market Structure Conference.


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.

 

    E*TRADE FINANCIAL CORPORATION
Date: November 28, 2012     By:  

/s/ Karl A. Roessner

     

Name:  Karl A. Roessner

     

Title:    Corporate Secretary


EXHIBIT INDEX

 

Exhibit

No.

  

Description

99.1    Investor Presentation for KBW Securities Brokerage & Market Structure Conference.